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 […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]