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 […]

The Pompano Beach, Florida-based, Soreide Law Group obtained the following information from FINRA’s website: Mark Robert Holcombe (CRD #2901441, Pompano Beach, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly participating in two separate private securities transactions involving a company for which he served as the chairman […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” John Billy Kakonikos (CRD #4017356, Flushing, New York) was assessed a deferred fine of $10,000, suspended by FINRA for 18 months, and ordered to pay deferred restitution in the amount of $72,524.53, plus interest, to a client […]

Soreide Law Group (888-760-6552) obtained the following information from the January 2017 Disciplinary Report on FINRA’s website; Richard Lynn Hollan (CRD #1401016, Houston, Texas) was fined $5,000 and suspended by FINRA for one month.   According to the FINRA report, during the time period of June 10, 2013 through September 10, 2015, Richard Hollan allegedly […]