The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. We recently obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Darrell Glynn Frazier (CRD #1663429, Registered Representative, Dublin, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying the […]

The following information appeared on FINRA’s website under "Disciplinary and Other Actions, August, 2013.” Jennifer Marie Burton (CRD #5019693, Registered Representative, Los Angeles, California) was fined $7,500 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the findings, Burton consented to the described sanctions and to […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Elmer Wayne Bullis (CRD #1718482, Registered Representative, Richmond, Virginia) was fined $15,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Elmer Wayne Bullis (CRD #1718482, Registered Representative, Richmond, Virginia) was fined $15,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christian Joel Brand (CRD #2434521, Registered Representative) was suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the allegations, Brand consented to the described sanction and to […]

Soreide Law Group, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Richard Allen Barnett (CRD #2347495, Registered Representative, Grand Blanc, Michigan) was fined $15,000 and suspended from association with any FINRA member in any capacity for one year and three months. Without admitting or denying […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, […]