The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Michael Eugene French (CRD #819126, Registered Supervisor, Essex, Vermont) was fined $25,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the findings, French consented to the described sanctions and to […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, October, 2013.” Robert Noonan Drake (CRD #1213804, Registered Principal, Lakeville, Connecticut) was fined $5,000 and barred from association with any FINRA member in any principal or supervisory capacity. The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, October, 2013.” Robert Noonan Drake (CRD #1213804, Registered Principal, Lakeville, Connecticut) was fined $5,000 and barred from association with any FINRA member in any principal or supervisory capacity. The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Delaney Equity Group, LLC (CRD® #142285, Palm Beach Gardens, Florida) and David Cameron Delaney (CRD #2447186, Registered Principal, West Palm Beach, Florida) submitted an Offer of Settlement in which the firm was censured and […]

The $5.7 billion REIT, Columbia Property Trust, went public last week, but despite the real estate market's post-2008 recovery, older non-traded real estate investment trusts are still struggling. Jason Kephart writes in a recent article from InvestmentNews that Columbia REIT was filled with supposed Class A properties, and began raising money at the start of […]

The $5.7 billion REIT, Columbia Property Trust, went public last week, but despite the real estate market's post-2008 recovery, older non-traded real estate investment trusts are still struggling. Jason Kephart writes in a recent article from InvestmentNews that Columbia REIT was filled with supposed Class A properties, and began raising money at the start of […]

Attorney Lars Soreide has filed a second FINRA arbitration this month against UBS of Puerto Rico for the sale of their proprietary bond fund the “Puerto Rico Fixed Income Fund IV”. This investment represented 100% of the investor’s life savings and UBS allegedly encouraged the investor to borrow money against his sole investment to purchase […]