Joseph Brandon Westphal (CRD #4769381, Tampa, Florida) was barred by FINRA for failure to respond to FINRA requests to provide documents and information. FINRA's findings stated that FINRA was investigating allegations by Joseph Westphal’s previous member firm that he opened multiple accounts without approval, had stolen funds, and had committed serious ethical violations. (FINRA Case […]

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.” John Sean Kennedy (CRD #2660518, Registered Representative, Encino, California) was fined $15,000 and suspended from association with any FINRA member in any capacity for eight months. Without admitting or denying […]