Fort-Lauderdale-based Soreide Law Group obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2014.” James Clifford Eastman (CRD #1385303, Naples, Florida) was given a deferred fine of $20,000 and suspended by FINRA for nine months for allegedly participating in the sales of private securities without prior written notice […]

The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552. Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle […]

Marilyn T. Myers, CRD No. 1620382, has been fined $20,000 and suspended for two years by FINRA. According to FINRA's investigation, from September 2009 through February 2011, Marylin T. Myers participated in private securities transactions without notifying her firm, or obtaining the written approval from her firm. Myers invested in a privately-held company known as […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.” Steven Lee Goldberg (CRD #1077437, Registered Principal, St. Louis, Missouri) was fined $15,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” David Darrell Anthony (CRD #4671195, Registered Representative, Mobile, Alabama) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the allegations, Anthony consented to the described sanctions and to […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Forrest Nolan Jackson (CRD #4222253, Registered Representative, Austin, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Jackson consented to […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2012.” Shari Robin Frimer (CRD #2503895, Registered Representative, Eastport, New York) and Thomas Joseph Heaphy Jr. (CRD #2540325, Registered Representative, Boynton Beach, Florida) submitted an Offer of Settlement in which Frimer was fined $32,407.50, which includes disgorgement of financial benefits of […]