Soreide Law Group (888-760-6552) represents clients nationwide before FINRA.  The following information was found on FINRA's website in the March 2016 Disciplinary Report. Kevin D. Wanner (CRD #1402627, Bismarck, North Dakota) was barred by FINRA for allegedly failing to provide FINRA with documents and information and failing to appear for testimony after FINRA began an […]

Clark Smith Gardner (CRD #2930356, Orem, Utah) was barred by FINRA member for allegedly converting client funds for his own use and benefit. FINRA's findings stated that Gardner's client gave him a check for $243,000 to invest, however Gardner deposited that check into his own personal bank account and did not invest any of the […]

Keith Michael Rogers (CRD #4987615, Huntsville, Alabama) was barred by FINRA for his failure to cooperate with FINRA in an investigation. Rogers did not appear for testimony with FINRA. FINRA's findings stated that the FINRA investigation was into whether Rogers had misappropriated funds by, among other things, improperly diverting funds from the bank accounts of […]

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 […]

JOHN A. WALDOCK JR. (CRD #2995364, Bloomington, Minnesota) was barred by FINRA for allegedly converting a client’s personal gift cards, worth least $2,200, which were given to his member firm for business purposes. FIRNA's findings stated that the client asked the firm to coordinate a mailing to potential clients with an enclosed gift card provided […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Darinn Dwight Kim (CRD #4029402, Rolling Meadows, Illinois) was barred by FINRA for allegedly transferring a client's funds, selling the client’s securities, and ordering a $190,000 check drawn on the client’s securities account […]

The following summation of information is listed on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” Jeffrey Scott Davis (CRD #3081852, Virginia Beach, Virginia) was barred by FINRA. According to FINRA's report, allegedly Davis converted $116,976.69 from his clients' brokerage accounts at his firm and used these funds for his personal use. According […]

The Securities and Exchange Commission filed a complaint, February 21, 2014, in the U.S. District Court for the Southern District of Ohio, alleging Charles P. O'Brien, from 1998 - 2008, engaged in a fraudulent scheme to misappropriate money from his client--over $298,000. The complaint alleged O'Brien had issued checks in the client's name from the […]

The following information is located on FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Violeta Maria Godoy Zuniga (CRD #5792585, Registered Representative, Doral, Florida) was barred by FINRA for alleged misappropriation of $7,000 from a bank customer for her own personal use. Godoy Zuniga assisted a customer in opening a savings account. The […]