FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
FINRA findings dated October 9, 2026 state that Buddy Mason (CRD 1721391) refused to provide documents and information FINRA requested, according to his BrokerCheck report. Mason consented to the sanction and to the entry of findings without admitting or denying them. BrokerCheck lists the matter as a regulatory event, names LPL Financial as the firm and gives case number 2025088717701.
FINRA barred Elias Gerodemos (CRD #7510054), a Crown Point, Indiana broker, from association with any FINRA member in all capacities. The bar is recorded in an AWC dated July 30, 2026, and it covers every capacity in which Gerodemos could otherwise register with FINRA. FINRA's report lists Crown Point, Indiana as Gerodemos' location and CRD #7510054 as his registration number.
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 […]
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