The Pompano Beach, Florida-based Soreide Law Group, obtained the following information from FINRA's website listed under, "Disciplinary and Other FINRA Actions, March 2016." Jeffrey L. Davidson (CRD #1352867, Stuart, Florida) was fined $10,000 and suspended by FINRA for three months for allegedly recommending unsuitable mutual fund switch transactions in customer accounts. FINRA's findings stated that […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following on FINRA's website under, "Disciplinary and Other FINRA Actions March 2016:" Robert E. Richards (CRD #2663610, Boynton Beach, Florida) Alternate Names: ROB RICHARDS was assessed a deferred fine of $25,000, suspended by FINRA for two years and required to requalify as a General Securities Principal […]