The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.”   Brian Lewis Pittman (CRD #2963196, Orlando, Florida) was assessed a deferred fine of $10,000 and suspended for six months for allegedly participating in a private securities transaction without providing prior written notice […]

Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana) Alternate Names: GENE TANNER, LEONARD E TANNER was fined $15,000 and suspended from association with any FINRA member in any capacity for 10 business days. Allegedly, Tanner exercised discretion in executing transactions in approximately 90 client accounts without obtaining the clients’ written authorization and without his member firm’s […]