The South Florida based law firm, Soreide Law Group, obtained the following summary of information from FINRA's website under, "Disciplinary and Other FINRA Actions, April 2016." CHRISTOPHER B. KELLY (CRD# 2306054, Jupiter, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for four months for allegedly borrowing $150,000 from clients which is […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.”   Brian Lewis Pittman (CRD #2963196, Orlando, Florida) was assessed a deferred fine of $10,000 and suspended for six months for allegedly participating in a private securities transaction without providing prior written notice […]

The Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, March 2016.” JAMES W. ANDERSON (CRD #1060765, Anthem, Arizona) Alternate Names: JIM ANDERSON was assessed a deferred fine of $15,000 and suspended by FINRA for 15 months for allegedly failing to appropriately supervise the sales […]

The Florida law firm, Soreide Law Group (888-760-6552) obtained the following information on FINRA's website listed under, "Disciplinary and Other FINRA Actions March 2016." James P. Hilty Jr. (CRD #5400513, Ocala, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA for 45 days for allegedly effecting discretionary transactions in the securities accounts […]

The following information was obtained on FINRA's website from their March 2016 Disciplinary Report. Stephen M. Oberman (CRD #1309066, Naperville, Illinois) was fined $10,000 and suspended by FINRA for four months for allegedly falsifying signatures on LOAs requesting fund disbursements from, and changes of address to, the account of a client of his member firm. […]

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 […]