Gregory Robert Swenson (CRD #2236695, Lake Forest, Illinois) was assessed a deferred fine of $75,000 and suspended by FINRA for allegedly making misleading and inaccurate statements to numerous corporate bond dealers while participating in and obtaining allocations of bonds for an unregistered proprietary trading firm. Through Swenson, his firm placed orders for securities primarily in […]

Soreide Law Group, based in Pompano Beach, Florida (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, April 2015.” Wendy Ann Wurst (CRD #1902879, Atlantis, Florida) AKA/ WENDY ANN MINERD, WENDY A MINERO, WENDY ANN MINERO was assessed a deferred fine of $50,000, suspended by FINRA for […]

The following summation of information from FINRA's website listed under “Disciplinary and Other FINRA Actions, April, 2015,” was obtained by the Pompano Beach, Florida-based Soreide Law Group, (888) 760-6552. Roger Kumar Jr. (CRD #2702488, Ocean Ridge, Florida) was assessed a deferred fine of $50,000 and suspended by FINRA one year for allegedly making misleading and […]