Benjamin Brown Jr. (CRD #3091206, Jamaica, New York) was assessed a deferred fine of $5,000 and suspended by FINRA for 10 business days for allegedly effecting option transactions while exercising discretion in a customer’s account without the customer’s prior written authorization to exercise such discretion and without his member firm’s written permission to engage in […]

Fort Lauderdale-based Soreide Law Group obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Dennis Todd Witthoeft (CRD #1631137, Wesley Chapel, Florida) was fined $5,000 and suspended by FINRA for 30 business days for allegedly improperly exercising discretion by effecting stock and option transactions in a single customer […]

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, June, 2013.” Philip Pursino (CRD #3212554, Registered Representative, West Hempstead, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Sharon Mae Perdue (CRD #2537681, Registered Principal, Longmont, Colorado) was fined $15,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Corbett Milne (CRD #1842992, Registered Principal, Ocala, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Milne consented to the described sanctions and […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” John Michael Babiarz (CRD #3047247, Registered Principal, Peabody, Massachusetts) was fined a total of $20,000 and suspended from association with any FINRA member in any capacity for a total […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Alan Richard Joyce (CRD #1683601, Registered Principal, Jacksonville, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for 60 business days. Without admitting or […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Paul Grover Gomez (CRD #702551, Registered Representative, El Toro, California) was fined $75,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

Stephen Paul Tommelleo (CRD #1597585, Registered Principal, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any capacity for three months and ordered to pay $14,990, plus interest, in restitution to a customer. Without admitting or denying the findings, […]