Andrew James DeVine (CRD #5048058, O’Fallon, Illinois) was barred by FINRA for allegedly misappropriating $739 from clients of his member firm’s insurance affiliate by taking funds intended to pay insurance premiums and instead using the funds for his own personal benefit. (FINRA Case #2013038128101) Andrew James DeVine was registered in the securities industry for 7 […]

Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Khoi Danh Nguyen (CRD #4640647, Jacksonville, Florida) was barred By FINRA for allegedly conducting improper credit inquiries and falsifying automobile applications to an affiliated insurance company and corresponding consolidated insurance […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, April, 2014.” Allen Hugo Reichman (CRD #1002285, Registered Representative, Irvington, New York) was barred by FINRA for failing to appear for FINRA testimony. FINRA's findings stated Reichman’s lawyer said in a phone […]

The Soreide Law Group, (888) 760-6552, obtained the following summation of FINRA's report from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Tracy Philander Holloway (CRD #5777595, Registered Representative, Winterville, North Carolina) was barred by FINRA for allegedly opening an insurance agency and filing fraudulent claims under the policies held by his clients. […]