Soreide Law Group (888-760-6552) represents clients nationwide before FINRA.  We obtained the following information from FINRA’s April 2017 Disciplinary Report: James David Calder II (CRD #4022637, Borger, Texas) was assessed a deferred fine of $15,000 and suspended by FINRA for six months for allegedly engaging an undisclosed outside business activity by participating in the sale […]

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 […]