Soreide Law Group has filed a FINRA arbitration against K.C. WARD FINANCIAL (K.C. WARD) on behalf of our client from Massachusetts. The Claimant is looking to retire within the next five years and was looking for a conservative growth portfolio. The law suit alleges that shortly after opening an account with K.C. WARD his money […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Neftali Mercedes (CRD #3201827, Registered Principal, New York, New York) was barred from association with any FINRA member in any capacity and ordered to pay a total of $97,500, plus interest, in restitution to customers. FINRA's sanctions were based on […]