Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions, February, 2015.” Brian Lewis Pittman (CRD #2963196, Naples, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for four months for allegedly participating in private securities transactions, specifically the sale of […]

Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania) was barred by FINRA for failing to disclose to his member firms that firm clients were purchasing securities away from the firms or that he was being compensated in connection with his referrals. FINRA's findings stated that Evangelista referred approximately six customers to a third party, and […]

Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly engaging in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his member firm to a client, and receiving compensation as a result. FINRA's findings […]

The following information was obtained on FINRA's website's 'Disciplinary Actions, January 2012."   Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two months. The fine must […]