Tricia Denise Willis (CRD #5703572, Vernon, Connecticut) Alternate Name: TRICIA DENISE LIPARELLI was barred by FINRA for allegedly converting a client’s funds and signed the client’s name on withdrawal slips without authorization. Willis solicited a personal loan from a friend, who was also a client of her bank, and requested that the client permit her […]

In an October 15, 2014, article from the South Florida Business Journal, Brian Bandell lists the following four FINRA actions taken recently: 1. Andrew S. Taubman of Weston, FL, formerly with NFP Securities from 2005 to 2010 and now a principal at Fort Lauderdale accounting firm Kaufman, Rossin & Co., was fined $10,000 and suspended […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

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.” Jeffrey Elliott Ludwick (CRD #2267071, Registered Representative, San Antonio, Texas) was suspended from association with any FINRA member in any capacity for three months. In light of Ludwick’s financial status, […]