Soreide Law Group, based in South Florida, obtained the following information from FINRA’s Disciplinary Report June 2017 on South Florida broker:  Leon Edward Dixon (LEON E DIXON) (CRD #723675, Miami, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for five months for allegedly participating in private securities transactions without notifying his […]

Soreide Law Group, based in Florida, obtained the following from FINRA’s June 2017 Disciplinary Report regarding Florida broker: WILLIAM CAMBELL WEBB (BILL C. WEBB, BILL WEBB, WILLIAM C. WEBB)  (CRD #1621426, Panama City, Florida) was assessed a deferred fine of $15,000 and suspended by FINRA for 18 months for allegedly engaging in outside business activities […]

Soriede Law Group, based in South Florida, obtained the following information on FINRA’s Disciplinary Report from June 2017 regarding Miami broker:  Enrique Mercado Jr. (CRD #2242873, Miami, Florida)   Marcado was assessed a deferred fine of $15,000 and suspended by FINRA for 12 months following allegations that he submitted a false and backdated FINRA Rule […]

Soreide Law Group obtained the following from FINRA’s Disciplinary Report of May 2017: PHILLIP RUSSELL HINZE (CRD #4494915, Mendota Heights, Minnesota) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member for one month for allegedly placing four orders over a one-week period to buy securities for a client without […]

The Florida-based, Soreide Law Group, obtained the following on FINRA’s website under, ‘Disciplinary and Other FINRA Actions May 2017.’ JARRED M LAWSON (CRD #6093454, Jacksonville, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for one year for allegedly making negligent misrepresentations or omissions regarding the sale of primarily Class A and […]

Soreide Law Group (888-760-6552) represents clients nationwide before FINRA.  We obtained the following information from FINRA’s April 2017 Disciplinary Report: James David Calder II (CRD #4022637, Borger, Texas) was assessed a deferred fine of $15,000 and suspended by FINRA for six months for allegedly engaging an undisclosed outside business activity by participating in the sale […]

Soreide Law Group is conveniently based in Pompano Beach, Florida, and we represent our clients nationwide before FINRA.  We obtained the following information regarding a Florida broker on FINRA’s website from the April, 2017 Disciplinary Report: William Bruckner (CRD #5754875, West Palm Beach, Florida) was fined $5,000 and suspended by FINRA for 15 business days […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” from March 2017: James Carolan Speno (CRD #431912, New York, New York) was assessed a deferred fine of $5,000 and suspended from by FINRA for 30 business days for allegedly exercising discretionary power in client accounts in approximately 1,000 […]

Florida-based Soreide Law Group obtained the following information from FINRA’s March 2017 Disciplinary Report: Dennis Coral (CRD #4561718, Miami, Florida) was suspended by FINRA for 15 business days and due to his financial status, no monetary sanction has been imposed following allegations that Dennis Coral shared in losses sustained by his member firm’s client by […]