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. Jeffrey Ng (CRD #1234807, Registered Principal, Stamford, Connecticut) was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The NAC imposed […]

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.” Frank Oswaldo Naula (CRD #1344900, Registered Representative, Merrick, New York) was barred from association with any FINRA member in any capacity. In light of Naula’s financial status, no monetary sanction […]