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February 5, 2015
Iowa Broker Fined and Suspended by FINRA for Falsifying an Insurance Document

Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website, in “Disciplinary and Other FINRA Actions, January, 2015.” Rick Dean Bianchi (CRD #2580219, Des Moines, Iowa) was assessed a deferred fine of $5,000 and suspended by FINRA for three months for allegedly creating and providing to his firm a falsified document purporting […]

November 29, 2012
Jacksonville, FL, Rep Suspended and Fined for Insurance Scam

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 […]

June 21, 2012
North Carolina Rep Fined and Suspended by FINRA

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 […]

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