South Florida-based Soreide Law Group, (888) 760-6552, obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, April, 2016.” Stuart Horowitz (CRD #2795019, Coral Springs, Florida) was assessed a deferred fine of $100,000 and suspended by FINRA for one year for allegedly recommending and engaging in unsuitable trading in preferred notes of […]

OneAmerica Securities, Inc. (CRD #4173, Indianapolis, Indiana) was censured and fined $75,000 for allegedly failing to make reasonable inquiries or follow-ups on multiple red flags that indicated a registered representative associated with OneAmerica Securities was making unsuitable options recommendations and causing an improper and/or unauthorized transfer of funds to a third party. FINRA's findings stated […]