Soreide Law Group, based in Florida, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018.”  Craig Dean Blattner (CRD #1590301, Longwood, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days following […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report.  Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months following allegations that he engaged in an outside business […]

Soreide Law Group, based in Florida, obtained the following information from the May 2018 Disciplinary Report on FINRA’s website regarding Florida broker: David Warren Olson (CRD #1700644, Largo, Florida) Olson was barred by FINRA in all capacities for allegedly refusing to provide complete documents and information requested by FINRA during an investigation into allegations that […]

Soreide Law Group has been contacted by investors who purchased Gemphire Therapeutics Inc. (GEMP) and experienced stock losses through the sale of the stock brokers at Laidlaw and Company. Laidlaw is listed on their website as the “Co-Manager” from the March of 2017 offering. Often, securities that are newly issued are more volatile than the more […]

Soreide Law Group has been contacted by clients who purchased Onconova Therapeutics, Inc. (ONTX) and experienced significant stock losses through the sale of the stock brokers at Laidlaw and Company. Laidlaw is listed on their website as the “Sole Book Runner” from the April 2017 offering. Securities that are newly issued are often more volatile than […]

The Pompano Beach, Florida-based law firm, Soreide Law Group, obtained the following information from FINRA’s May 2018 Disciplinary Report on the following broker, who is registered in Florida:  Christine Alexandria Murphy (CRD #1510853, Delray Beach, Florida) Murphy was fined $5,000, suspended from association with any FINRA member in all capacities for one month and required […]

Soreide Law Group has been contacted by clients who purchased PhaseRx, Inc. (PZRXQ) and experienced significant stock losses through the sale of the stock brokers at Laidlaw and Company. Laidlaw is listed on their website as the “Book Runner” from the May 2016 offering. Securities that are newly issued are typically more volatile than the older […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information regading a Boca Raton, Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018.”  Michael Bruce Ralby (CRD #1301072, Boca Raton, Florida) was barred by FINRA in all capacities for allegedly refusing to appear for a FINRA on-the-record testimony in […]

Soreide Law Group has been receiving calls from our clients who purchased MabVax Therapeutics Holdings, Inc. (MBVX) and experienced significant stock losses.  Not only were the brokers from Laidlaw and Company offering this stock, but Laidlaw also served as the “Sole Placement Agent” for the offering. Securities that are newly issued are typically more volatile […]