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Montana Broker Suspended by FINRA for Failing to Provide Notice of Activity in Outside Company Involved in Alleged Ponzi Scheme

May 23rd, 2014|

Soreide Law Group, PLLC, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and […]

Ponte Vedra Beach, FL, Rep Fined and Suspended by FINRA

April 26th, 2012|

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”

James Calvin Wylie Jr. (CRD #834405, Registered Representative, Ponte […]

FINRA Fines Broward Brokerage and Censures Two Brokers

November 17th, 2011|

In a November 16th., 2011, Sun-Sentinnel article, Donna Gehrke-White writes that a Ft. Lauderdale brokerage was fined $20,000, a Plantation broker was […]