The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Charles Rainsford Marks Jr. (CRD #4727907, Registered Representative, South Jacksonville, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. The […]

 The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.” Jordan Alan Linn (CRD #2664439, Registered Representative, Hallandale, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $2,500 and suspended from association with any FINRA member in any capacity for 30 days. The fine must be paid […]

Lars K. Soreide, of Soreide Law Group, PLLC, filed a FINRA arbitration in February of 2012, against National Securities Corporation alleging: negligence, negligent supervision, and breach of fiduciary duty, due to among other unsuitable investments, the sale of Roundstone Healthcare Capital Partners. Recently, Roundstone Healthcare Partners, and its affiliates, have filed a RICO suit against numerous defendants in […]