National Securities Corporation (CRD #7569, Seattle, Washington) was censured and fined $35,000 for allegedly filing late amendments to Forms U4 and Uniform Termination Notices for Securities Industry Registration (Forms U5), and reclassified customer complaints as sales practice violations, after discussions with FINRA, which resulted in additional late filings. FINRA's findings stated that National Securities Corporation […]

Soreide Law Group recently obtained the following summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) was barred by FINRA for failure to provide FINRA with documents and information. FINRA's findings stated that their requests for information were related to their investigation into the […]

The following summation of information is from FINRA's website under, "Disciplinary and Other Actions, March, 2014." Ariel Luis Hernandez (CRD #2684424, Registered Principal, Pembroke Pines, Florida) was barred by FINRA. Hernandez, according to FINRA's report, allegedly did not comply with requests for documents, information and testimony. FINRA began an investigation because of a Uniform Termination […]