The Soreide Law Group (888-760-6552) obtained the following information on FINRA's website under, "Disciplinary and Other FINRA Actions March 2016." Global Arena Capital Corp (CRD® #16871, New York, New York) was expelled from FINRA membership, fined $1 million and ordered to disgorge $333,083.26, plus interest. FINRA's sanctions were based on findings that Global Arena Capital […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, March, 2014.” Jeffrey Griffin Lane (CRD #1663977, Registered Principal, Darien, Connecticut) and Robert Marcus Lane Jr. (CRD #1411773, Registered Principal, North Palm Beach, Florida) FINRA has fined Jeffrey Lane $25,000, barred him from […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.” Charles Scot Jacobi (CRD #1209710, Registered Principal, Palatine, Illinois) was fined $25,000, suspended from association with any FINRA member in any capacity for one month, and ordered to retake the examinations for the Series 7 and 63 […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:” Stone & Youngberg LLC (CRD #795, San Francisco, California) submitted a Letter of  Acceptance, Waiver and Consent in which the firm was censured, fined $350,000 and ordered to pay $206,054.72, without interest, in restitution to customers. Without admitting or denying the findings, the […]