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January 23, 2014
Sarasota Principal Broker Fined and Suspended by FINRA for Participation in PIPE Transactions

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Harry Shaw Hammond (CRD #2261856, Registered Principal, Sarasota, Florida) was fined $10,000 and suspended from association with any FINRA member in any capacity for 12 months. Hammond consented to the described sanctions […]

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