Soreide Law Group (888-760-6552) obtained the following information, available to all on FINRA website under, “Disciplinary and Other FINRA Actions January 2017.” Jeffrey Alan Hill (CRD #2204945, Bemidji, Minnesota) was fined $5,000, suspended by FINRA 15 months, and required to pay $45,000 in disgorgement of commissions received for allegedly initiating hundreds of trades for two […]

Daryl Richard Lemon (CRD #2473133, Los Angeles, California) was barred by FINRA for allegedly executing 1,236 transactions in an elderly client’s discount brokerage account maintained at another broker-dealer without providing prior written notice, or any notice at all, to his member firm. FINRA's findings stated that Lemon periodically charged the customer amounts that he characterized […]