Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
June 20, 2013
UBS Financial Broker Fined and Suspended by FINRA for 'Shadowing' Trades of Third Party

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Charles Jennings (CRD #702719, Registered Representative, Wellesley, Massachusetts) was fined $20,000 and suspended from association with any FINRA member in any capacity for 10 business days. The sanctions were […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2025 Soreide Law Group, PLLC  |  All Rights Reserved