FINRA Suspends Securities Services Rep For Private Securities Transactions Peter D. Holler (CRD #838897, Bristol, Tennessee) who was a registered representative of Securities Services Network, Inc., consented to being fined $10,000 and suspended until May 20, 2020 from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, […]

Soreide Law Group, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Steven Bruce Grunwerg (CRD #2670062, Registered Representative, East Windsor, New Jersey) barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Steven Grunwerg consented to the described sanction and […]

Soreide Law Group, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Steven Bruce Grunwerg (CRD #2670062, Registered Representative, East Windsor, New Jersey) barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Steven Grunwerg consented to the described sanction and […]

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.” John Sean Kennedy (CRD #2660518, Registered Representative, Encino, California) was fined $15,000 and suspended from association with any FINRA member in any capacity for eight months. Without admitting or denying […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” David Appel (CRD #1026798, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that […]

Jeffrey Rachlin (CRD #823547, Registered Principal, Pleasantville, New York)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 30 business days, and suspended from association with any FINRA member in any principal capacity for 18 months. The […]