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 […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred ANTHONY JOSEPH VERZI (TONY VERZI) CRD#: 1186572  from acting as a broker or otherwise associating with firms that sell securities to the public. Tony Verzi was a former Morgan Stanley broker who was barred after he allegedly refused to testify at a hearing into alleged trading […]

A Soreide Law Group (888-760-6552) obtained the following information from FINRA’s Disciplinary Actions December 2016. Mark Tauzin (CRD #1716373, Lafayette, Louisiana) was assessed a deferred fine of $20,000, suspended by FINRA for eight months, and required to pay deferred disgorgement of ill-gotten gains in partial restitution in the total amount of $205,115.02, plus interest, to […]

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 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 […]

Cambridge Investment Research, Inc. (CRD #39543, Fairfield, Iowa) was censured and fined $250,000 for allegedly failing to identify and apply “rollover” and exchange discounts to certain clients with eligible purchases of unit investment trusts (UIT), which resulted in those clients paying $423,774.27 in excessive sales charges. FINRA's findings stated that Cambridge Investment Research has paid […]

Soreide Law Group has obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2015.” Malcolm McGreggor Meikle Jr. (CRD #331313, Standish, Maine) was assessed a deferred fine of $10,000 and suspended by FINRA for 20 business days for allegedly purchasing Unit Investment Trusts (UITs) for clients without prior […]

Soreide Law Group, (888) 760-6552, has obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2014.” William Bradford Coolidge (CRD #1636957, Registered Representative, Cordova, Tennessee) was barred by FINRA for allegedly effecting trades in elderly clients’ accounts without written authorization or his firm’s acceptance of their accounts as discretionary. […]