Soreide Law Group has obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2015.” Malcolm McGreggor Meikle Jr. (CRD #331313, Standish, Maine) was assessed a deferred fine of $10,000 and suspended by FINRA for 20 business days for allegedly purchasing Unit Investment Trusts (UITs) for clients without prior […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Edward Daniel Hochard (CRD #1830418, Registered Principal, Palm Bay, Florida) was fined $15,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Hochard consented to the described sanctions and […]

Michael John Hester (CRD #3044429, Registered Representative, Tampa, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hester consented to the described sanction and to the entry of findings that he engaged in a private securities transaction by accepting checks totaling $20,000 from individuals to purchase […]