Broker Alan New Is Barred By FINRA, Targeted In SEC Lawsuit Over Woodbridge Sales The Financial Industry Regulatory Authority (“FINRA”) reportedly barred securities broker Alan Harold New (CRD#: 2892508, Fort Wayne, Indiana) in April 2020. This means that New, who last worked for NYLife Securities, cannot be a securities broker for all FINRA member securities […]

Soreide Law Group obtained the following information on FINRA’s website from the January 2020 Disciplinary Actions on the following broker:  FREDRICK MARTIN RANDHAHN (FRED RANDHAHN) CRD#: 1338801   On November 14, 2019, an AWC was issued in which FREDRICK MARTIN RANDHAHN was assessed a deferred fine of $5,000, suspended from association with any FINRA member […]