Chia-Ming Hu (CRD #5368992, New York, New York) Alternate Name: MICHAEL HU was barred by FINRA for allegedly failing to provide FINRA-requested testimony involving an investigation into allegations that he and another representative of his member firm concealed trading losses. (FINRA Case #2014043161701) Michael Hu is not currently licensed to act as a broker (buying […]

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Soreide Law Group, (888) 760-6552, obtained the following summation of information found on FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Brian Michael Seifert (CRD #4547658, Rochester, Minnesota) was barred by FINRA for allegedly failing to provide FINRA-requested on-the-record testimony involving an investigation into allegations that he, among other things, forged documents and […]

Scott Dee Barker (CRD #4754577, Layton, Utah) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with an investigation into whether he misused insurance premiums for business and/or office expenses. (FINRA Case #2014041073701) FINRA has permanently barred Scott Dee Barker from acting as a broker or otherwise associating with […]

The following summation of information was obtained by Soreide Law Group on FINRA's Website under "Disciplinary and Other Actions, November 2014." Mark Foster (CRD #719105, Pasadena, California) was barred by FINRA for failure to respond to FINRA's requests for information and documents and failure to appear before FINRA and provide on-the-record testimony. The requests from […]

The following list of individual brokers who were barred by FINRA, appeared on FINRA's website under, ""Disciplinary and Other Actions, June, 2014." Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) (If the bar has been vacated, the date follows the bar date.) Christopher Bryan Babbitt (CRD #6123929) […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, March, 2014.” Jeffrey Griffin Lane (CRD #1663977, Registered Principal, Darien, Connecticut) and Robert Marcus Lane Jr. (CRD #1411773, Registered Principal, North Palm Beach, Florida) FINRA has fined Jeffrey Lane $25,000, barred him from […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Glen W. Carnes (CRD #5486261, Registered Representative, Orange, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carnes consented […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented […]