National Securities Corporation (CRD #7569, Seattle, Washington) was censured and fined $35,000 for allegedly filing late amendments to Forms U4 and Uniform Termination Notices for Securities Industry Registration (Forms U5), and reclassified customer complaints as sales practice violations, after discussions with FINRA, which resulted in additional late filings. FINRA's findings stated that National Securities Corporation […]

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.” Scott Fitzgerald Wright (CRD #2087728, Registered Representative, San Clemente, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Wright failed […]