The Soreide Law Group, (888) 760-6552, recently obtained the summation of information from FINRA’s website listed as “Disciplinary and Other FINRA Actions, February, 2014.” Shelby Lee Bowles (CRD #1982481, Registered Principal, Newburg, Maryland) has been fined $40,000 and suspended by FINRA for 10 months. Shelby Bowles consented to the sanctions and findings that he was […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Denise Ellen Roy Malin (CRD #3145027, Registered Principal, Grottoes, Virginia) was barred from association with any FINRA member in any capacity. Malin's customer opened variable annuity accounts and a mutual fund brokerage account […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]