The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” Ann Maria Ferrao (CRD #4481123, Miami, Florida) was barred by FINRA for refusing to appear before FINRA and testify in an investigation into allegations that she misappropriated funds from her […]

Christopher Somes Babcock (CRD #5004907, Wayne, Pennsylvania) was barred by FINRA for allegedly receiving approx. $160,000 from his customers after he had his customers wire money from their firm accounts to their personal accounts and then they wired the money to Babcock or wrote a check payable to him. According to the FINRA report, the […]

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 Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Nicholas Adam Hill (CRD #5992761, Parkville, Maryland) was barred by FINRA for allegedly withdrawing $8,000 from his customer bank accounts without the customers’ authorization. According to FINRA's findings, allegedly Nicholas Hill used the […]

Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, 2014.” Daniel Howard Glick (CRD #2175655, Chicago, Illinois) was barred by FINRA because allegedly during FINRA's investigation, FINRA had requested documents and information concerning findings by the Certified Financial Planner Board of Standards. This was […]

Registered Representative, John Cherry III, New York, NY CRD # 1891720, has been barred by FINRA and ordered to pay $174,000, plus prejudgment interest, in restitution to customers, plus $300,000 in disgorgement. Allegedly, Cherry converted funds from his member firm customers for his own personal use without the customers’ authorization. FINRA's findings stated that allegedly […]

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, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Harry Shaw Hammond (CRD #2261856, Registered Principal, Sarasota, Florida) was fined $10,000 and suspended from association with any FINRA member in any capacity for 12 months. Hammond consented to the described sanctions […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented […]