The Ft. Lauderdale, Florida-based Soreide Law Group, obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Derek Brice Radzikowski (CRD #2707808, Highland Beach, Florida) was assessed a deferred fine of $18,000 and suspended by FINRA for two years for allegedly engaging in outside business activities where he conducted […]

Soreide Law Group, PLLC, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” James Daniel Helgeson (CRD #1016562, Billings, Montana) was given a deferred fine of $5,000 and suspended by FINRA for one month. According to FINRA's report, allegedly Helgeson did not provide […]

Soreide Law Group, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Adam A. Pflum (CRD #5220575, Registered Representative, Clayton, North Carolina) was suspended from association with any FINRA member in any capacity for one year. Without admitting or denying the findings, Adam A. Pflum consented […]