Soreide Law Group, based in Florida, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018.”  Craig Dean Blattner (CRD #1590301, Longwood, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days following […]

Soreide Law Group, PLLC, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” James Daniel Helgeson (CRD #1016562, Billings, Montana) was given a deferred fine of $5,000 and suspended by FINRA for one month. According to FINRA's report, allegedly Helgeson did not provide […]

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 […]

In a November 16th., 2011, Sun-Sentinnel article, Donna Gehrke-White writes that a Ft. Lauderdale brokerage was fined $20,000, a Plantation broker was suspended for two years and a Coral Springs man was barred from working with any brokerage, according to November's report on disciplinary action taken by FINRA, the private regulatory agency that oversee securities companies. Newbridge […]