Alejandro C. Rotundo (CRD #4627887, Registered Representative, Miami, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying FINRA's findings, Rotundo consented to the described sanctions and to the entry of findings that he executed option trades in a customer’s account without […]

Marcelo Ivan Jacir (CRD #4860487, Registered Representative, Weston, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Jacir consented to the described sanction and to the entry of findings that he directed two individuals, one of whom was a customer of his member firm, to deposit […]

Christopher Andrew Carra (CRD #2214509, Registered Representative, Deerfield Beach,Florida) was fined $20,000 and suspended from association with any FINRA member in any capacity for one year. Without admitting or denying FINRA's findings, Carra consented to the described sanctions and to the entry of findings that he attempted to procure investment banking and consulting business from […]

Myrron Marcos Martinez (CRD #4369254, Registered Representative, Sarasota, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Martinez consented to the described sanctions and to the entry of findings that he participated in an outside business activity without providing his […]

Stanley Neil Crooms (CRD #852539, Registered Representative, St. Petersburg, Florida) was barred from association with any FINRA member in any capacity. Crooms consented to the described sanction and to the entry of findings that he failed to provide all of the information FINRA requested as part of an investigation into the allegations that he had […]

David Louis Bocchino (CRD #3168609, Registered Representative, Bradenton, Florida) was fined $7,500, which includes disgorgement of $2,850 in commissions, and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the findings, Bocchino consented to the described sanctions and to the entry of findings that he became licensed […]

Andrew James Aragona (CRD #1320844, Registered Representative, Deerfield Beach,Florida) was fined $138,500 and suspended from association with any FINRA member in any capacity for one year. These sanctions were based on findings that Aragona recommended unsuitable variable annuity switches to an elderly customer. The FINRA findings stated that Aragona failed to conduct an objective, quantitative […]

Soreide Law Group is currently investigating 'TNP 12 Percent Notes Program LLC' issued by Thompson National Properties, LLC. Recently the interest payments to investors have been suspended in the TNP 12 Percent Notes Program LLC issued by Thompson National Properties LLC. The TNP 12 Percent Notes were sold by 22 independent broker-dealers. The minimum investment […]

  Kyle Timothy Holland (CRD #2308543, Registered Principal, Austin, Texas)  was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Holland consented to the described sanction and to the entry of findings that, acting in the capacity of his member firm’s managing director, he engaged in activities requiring […]