The Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, March 2016.” JAMES W. ANDERSON (CRD #1060765, Anthem, Arizona) Alternate Names: JIM ANDERSON was assessed a deferred fine of $15,000 and suspended by FINRA for 15 months for allegedly failing to appropriately supervise the sales […]

WFG Investments Inc., of Texas, is facing a $650,000 “global fine” by the Financial Industry Regulatory Authority Inc. (FINRA) Last March WFG agreed to pay $200,000 over an alleged stock-fraud scheme. The reasons for the latest fine has not yet been revealed. "Global fines" are given when regulators are trying to settle long running or […]

Lars Soreide, Esq., of Soreide Law Group, is representing investors from Texas and Maryland before the Finanical Industry Regulatory Authority (FINRA) who filed claims against Matthew A. Bell (CRD# 3091864) for his conduct while at WFG Investments. The lawsuit alleges that Bell recommended inappropriate investments including, but are not limited to: penny stocks such as […]