ANTHONY VINCENT FERRONE CRD#: 1192506 Without admitting or denying the findings, on July 25, 2017, Ferrone consented to the sanction and to the entry of findings that he allegedly appeared for on-the-record testimony but refused to provide complete testimony and departed the testimony before its completion during the course of FINRA's investigation into his potential […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2016: Investors Capital Corp (CRD #30613, Lynnfield, Massachusetts) was censured, fined $250,000 and required to pay $841,532.97 in restitution, which includes interest to clients. Investors Capital Corp has already paid approximately $224,500 in restitution to affected customers in […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following information from the Financial Industry Regulatory Authority (FINRA) regarding two South Florida broker/dealers. Newbridge Securities Corp. and Shearson Financial Services LLC, both based in Boca Raton, Florida, were disciplined by FINRA. According to the FINRA report, Newbridge Securities Corp. allegedly failed to apply discounts to […]

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” Newbridge Securities Corporation (CRD #104065, Boca Raton, Florida) was censured, fined $115,000 and required to pay $188,803.99 in restitution to their clients.. Newbridge Securities Corporation has paid full restitution, plus statutorily calculated interest, and provided […]

The Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” David Michael Miller (CRD #5461431, Columbus, Ohio) was barred by FINRA, required to pay a total of $799,161.07, plus interest, in restitution to clients, and required to pay to FINRA a fine of $15,161.54, plus […]