Florida-based Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Jennifer Joice Trowbridge (CRD #4310649, Boca Raton, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for two months for allegedly recommending a series of mutual fund switches in clients […]

Sean Francis Sheridan has been barred by FINRA for alleged excessive trading, also know as churning. FINRA's investigation found that he executed 205 excessive mutual fund trades with eight customer’s from January, 2007, through December, 2009. Sheridan effected these trades on a short-term basis of approximately four to five months, increasing customer losses while also […]