The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Arthur Apostol (CRD #2265647, Registered Representative, Ashford, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Evan Coley Eggers (CRD #5205969, Registered Representative, Jacksonville, Florida) fined $5,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Eggers consented to the described sanctions and to the […]

John Herman Fick (CRD #4197483, Registered Representative, Fuquay-Varina, North Carolina) was fined $5,000 and suspended from association with any FINRA member in any capacity for 18 months. This fine must be paid either upon Fick’s reassociation with a FINRA member firm after his suspension, or before the filing of any application or request for relief from any statutory […]