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, July, 2013.” Mohamed S. Hassan aka Max Hassan (CRD #5108964, Registered Representative, Sunnyvale, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that […]

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, July, 2013.” Janet Louise Frakes (CRD #3120413, Registered Representative, Independence, Kentucky) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Frakes consented to the […]

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. Conrad Tambalo Bautista (CRD #1582353, Registered Representative, McKinney, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bautista consented […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Todd Lloyd Goedeke (CRD #1210932, Registered Principal, Howards Grove, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Goedeke consented to the described sanction and to the entry of findings that […]

The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552, and obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Raphael Huaman (CRD #5868404, Registered Representative, Miami, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Huaman […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” David Appel (CRD #1026798, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida) was named a respondent in a FINRA complaint alleging that he misappropriated $23,750 from elderly customers’ accounts by converting their funds to cashier’s checks and depositing those checks into a bank […]

  Gary Lee Cousino (CRD #726486, Registered Representative, Mackinac Island, Michigan)   has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cousino consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information regarding its investigation of […]

Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)  has been barred from association with any FINRA member in any capacity. This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s […]