Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
July 18, 2013
Iowa Principal Broker Fined and Suspended by FINRA for Lack of Due Diligence For Private Offerings

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Gary Mitchell Spitz (CRD #1828144, Registered Principal, Fairfield, Iowa) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one year. Without admitting or […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2025 Soreide Law Group, PLLC  |  All Rights Reserved