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.” Timothy Ruben Ward (CRD #2600718, Registered Representative, Dexter, Missouri) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ward consented to the […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” James Merle Culbertson (CRD #1716829, Registered Representative, Oakdale, Minnesota) was fined $20,000 and suspended from association with any FINRA member in any capacity for 12 months. Without admitting or denying the findings, Culbertson consented to the described sanctions and to […]

WASHINGTON —It was announced July 20, 2011, on FINRA's website that The Financial Industry Regulatory Authority (FINRA) has suspended William Bailey, a former NEXT Financial Group, Inc. broker of Mesa, Arizona, from the securities industry for two years for unsuitable and excessive trading of mutual funds and variable annuities. Bailey also engaged in discretionary trading without […]