The Pompano Beach, Florida-based Soreide Law Group obtained the following information from the Financial Industry Regulatory Authority (FINRA) regarding two South Florida broker/dealers. Newbridge Securities Corp. and Shearson Financial Services LLC, both based in Boca Raton, Florida, were disciplined by FINRA. According to the FINRA report, Newbridge Securities Corp. allegedly failed to apply discounts to […]

Joel Eziekel Blum (CRD #4905379, Goshen, New York) Alternate Names: EZIEKEL JOEL BLUM was fined $10,000 and suspended by FINRA for 20 days for allegedly executing discretionary transactions in client accounts without written authorization to do so from his member firm. FINRA's findings stated that Blum also allegedly mismarked order tickets in connection with these […]

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 […]