FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, September, 2013.” Stephen Yarkpazuo Jensen (CRD #4400624, Registered Representative, Redford, Michigan) was barred from association with any FINRA member in any capacity. Jensen misappropriated a client’s funds without her knowledge by taking loans totaling $12,500 against her insurance policy and forging her […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Giles Anthony Hoagland (CRD #4160185, Registered Representative, Peru, Indiana) was barred from association with any FINRA member in any capacity. This sanction was based on findings that Hoagland began using his client’s monthly insurance premiums to pay his own personal expenses. Giles […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Matthew Gordon Kartchner (CRD #4912771, Registered Representative, Taylorsville, Utah) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying […]

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 […]