The Pompano Beach, Florida-based, Soreide Law Group obtained the following information from FINRA’s website: Mark Robert Holcombe (CRD #2901441, Pompano Beach, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly participating in two separate private securities transactions involving a company for which he served as the chairman […]

The South Florida based law firm, Soreide Law Group, obtained the following summary of information from FINRA's website under, "Disciplinary and Other FINRA Actions, April 2016." CHRISTOPHER B. KELLY (CRD# 2306054, Jupiter, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for four months for allegedly borrowing $150,000 from clients which is […]

Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions, February, 2015.” Brian Lewis Pittman (CRD #2963196, Naples, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for four months for allegedly participating in private securities transactions, specifically the sale of […]

Marc William Evans (CRD #859585, Tulsa, Oklahoma) was fined $10,000, suspended by FINRA for 13 months and ordered to pay $56,572, plus interest, in disgorgement of commission. The sanctions take into account the suspension and fine the Oklahoma Department of Securities imposed against Marc Evans. Allegedly Evans participated in private securities transactions for selling compensation […]

Radcliffe Robert Daly (CRD #4663605, Granger, Indiana) was assessed a deferred fine of $15,000 and suspended by FINRA for nine months for allegedly mismarking order tickets for solicited transactions as "unsolicited." FINRA's findings stated that Daly recommended a penny stock to many clients and continued to solicit purchases of the stock and marked the trades […]

Chase Bishop Casson (CRD #4404195, Carlsbad, California) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation as part of an investigation into whether he was engaged in private securities transactions. FINRA's findings stated that after receiving a fourth request, Casson informed FINRA that he would not cooperate or provide […]

James Emory Poe (CRD #5085362, Benbrook, Texas) was assessed a deferred fine of $775,000, which included the disgorgement of financial benefits received of $686,230, plus interest, and was suspended by FINRA for two years for alleged failure to provide prior written notice to or receive written approval from his member firm regarding his roles with […]

Blair Christopher Mielke(CRD #1878222, Evansville, Indiana) and Frederick William Shultz(CRD #5239977, Evansville, Indiana) were barred by FINRA for allegedly participating in undisclosed private securities transactions, engaging in undisclosed outside business activities, and failure to report their outside business activities to their firm. FINRA's sanctions also alleged that Shultz and Mielke failed to respond to FINRA’s […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.” Edward James Wendol (CRD #2392007, Spring Hill, Florida) was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony. […]