Florida-based Soreide Law Group, has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Anthony Arthur Grey (CRD #709788, Winter Park, Florida) was fined $30,000, suspended by FINRA for 18 months and is required to disgorge $15,750, plus pre-judgment interest, to FINRA. The National Adjudicatory Council (NAC) affirmed […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Banc of America Investment Services, Inc. dba Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York)  submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $55,000. The firm has already paid […]