Securities Arbitration Lawyers Blog

Long history of misconduct ends seventeen-year career Gregory Flemming, Jr. has a troubled past when it comes to his career in the securities industry. In addition to allegations of failing to disclose tax warrants, a tax lien and a judgment on his U4 (required industry documentation), he has also been…

Allegations concerning customer funds lead to permanent FINRA bar Barbara Fife consented to the sanction that she failed to provide documents and information requested by FINRA during an investigation into accusations that she converted funds from a customer. In October of 2015, a client reported that she wrote checks directly…

FINRA has barred Liam Gerald O’Keefee alleging unauthorized trading, misappropriation of funds, and unsuitable recommendations. As of October 20, 2015, Liam Gerald O’Keefee has been permanently barred by FINRA. O’Keefee consented to the sanctions and to the findings that he did not provide the information and documents requested by FINRA. During…

According to FINRA Disciplinary actions for June 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Vladimir Belyaev…

According to FINRA Disciplinary actions for June 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Barry Boyd Blount, Sr.   Insight Advisors, LLC   Ameriprise Financial Services, Inc.   Joseph…

According to FINRA Disciplinary actions for June 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Aaron Carter…

According to FINRA Disciplinary actions for May 2016, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Dmitry Borochin   Wells Fargo Advisors, LLC   Chase Investment Services Corp.   Randy Lee…

According to FINRA Disciplinary actions for May 2016, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Gordon W.…

According to FINRA Disciplinary actions for May 2016, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   Steven Angelo…

It was about three years ago that the Florida Legislature adopted the Revised Uniform Arbitration Act (“RUAA”), a revised code that was intended to clarify the arbitration process and promote various requirements of due process.  Among many issues the revision addresses, attorneys’ fees changes were one of the most significant,…