JASON N ANDERSON CRD#: 4370191, a former LPL financial advisor from Beaumont, Texas, was suspended indefinitely by FINRA in October of 2017, and now the Texas State Securities Board has suspended Anderson for 90 days for allegedly charging unreasonable fees to his clients. The Financial Industry Regulatory Authority, Inc. (FINRA) suspended Anderson indefinitely in October […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2016.” Robert James Batchen (CRD #2106288, Wheeling, Illinois) was assessed a deferred fine of $15,000, and suspended by FINRA for five months for allegedly effecting discretionary trades in a client’s accounts. FINRA’s findings stated that although the client […]