The Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” Jorge Enrique Gutierrez Gomez (CRD #2246876, Palmetto Bay, Florida) was assessed a deferred fine of $5,000 and suspended from association with FINRA members in any capacity for 20 business days. Jorge Gutierrez Gomez allegedly failed to […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   James Calvin Wylie Jr. (CRD #834405, Registered Representative, Ponte Vedra Beach, Florida)  submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. Without admitting […]