FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Carlos Mark Silva (CRD #5913918, Registered Representative, Bridgeport, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Silva consented […]

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, July, 2013.” Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida) was barred from association with any FINRA member in any capacity. FINRA’s Enforcement Department did not seek restitution because the member […]

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, July, 2013.” Tiara Monique Jones (CRD #5366042, Registered Representative, Dolton, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Jones misappropriated funds […]

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, July, 2013.” Janet Louise Frakes (CRD #3120413, Registered Representative, Independence, Kentucky) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Frakes consented to the […]

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, July, 2013.” Turker Ergun (CRD #4347758, Registered Representative, Irvine, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ergun consented to the described […]

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, July, 2013.” Huel Cox Jr. (CRD #1638341, Registered Principal, Phoenix, Arizona) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cox consented to the […]

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.” Ronald Wayne Nichter (CRD #3127417, Registered Principal, Greenfield, Indiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nichter consented to the […]