(Note to our readers: Soreide Law Group has filed 3 FINRA arbitrations against Dean S. Mustaphalli for our clients in New York totaling over $1 million in losses.) Dean Sadrudin Mustaphalli (CRD #2792038, Commack, New York) was assessed a deferred fine of $20,000, suspended from association with any FINRA member in any capacity for two […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” John Warren DuBrule (CRD #1223724, Orlando, Florida) was barred by FINRA for allegedly engaging in securities fraud by the distribution of quarterly statements containing false information about the valuation of […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” HKC Securities, Inc. nka ACGM, Inc. (CRD #29705, New York, New York) and Harold Kenneth Cohen (CRD #49888, Registered Principal, Palm Beach, Florida) the firm was censured and fined $50,000, […]