Sarasota, FL, Rep Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” John Boyd Dexter (CRD #1354376, [...]
In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule [...]
Soreide Law Group is currently investigating potential claims regarding the sale of variable life insurance policies and certain Real Estate [...]
As a general rule, investment performance for the last ten years has generally been mediocre. This is true not only [...]
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2012.” Shari Robin Frimer (CRD #2503895, [...]
Straccia v. Focus Capital, FINRA ID # 11-02737 (Manchester, NH, 11/27/2012) - A FINRA Arbitration Panel awarded $1.8 million in [...]
Soreide Law Group securities attorney, Lars Soreide, is currently investigating Cyprus Equipment Fund 14, LLC. If your broker sold you [...]
Soreide Law Group is currently investigating these collateralized loan obligations (CLOs): Bryn Mawr CLO II Ltd., and LCM VII Ltd(Lyon [...]
Levinski Dealexis Barnes (CRD #2292179, Registered Representative, Lutz, Florida) has been named a respondent in a FINRA complaint alleging that [...]
Andrew Martin Abern (CRD #1610607, Registered Principal, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, [...]
Stephanie Lee Webster (CRD #2424488, Registered Representative, Fort Lauderdale, Florida) was fined $5,000 and suspended from association with any FINRA [...]
FINRA Case Number 11-01278, awards $158,250.00 to the defrauded Claimants for the alleged supervisory failures of Harvest Capital, LLC, of [...]
Stephen Paul Tommelleo (CRD #1597585, Registered Principal, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which [...]
Stephen Nietsch (CRD #3111082, Registered Representative, Boynton Beach, Florida) was barred from association with any FINRA member in any capacity [...]
David Marasek (CRD #2866848, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he [...]
Brent Keith Deviney (CRD #2131402, Registered Representative, West Palm Beach, Florida) was barred from association with any FINRA member in [...]
Patrick Alan Deramus (CRD #1718409, Registered Principal, Tampa, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he [...]
Robert Nunes Da Frota (CRD #2137208, Registered Representative, Fort Myers, Florida) submitted a Letter of Acceptance, Waiver and Consent in [...]
Clifford Jagodzinski, formerly of Morgan Stanley Smith Barney LLC (MSSB), claims he was fired for blowing the whistle on one [...]