The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2016.” Halen Capital Management, Inc. (CRD #135966, Clearwater, Florida) was censured; fined $100,000; shall, within 45 days of the acceptance of the AWC, provide a written notice to each affected investor that he/she has the right […]

The following information was obtained on FINRA's website's "January, 2012, Disciplinary Actions:"   Jason Christopher Dayton aka Jason Krupar (CRD #4504624, Registered Principal, Oviedo, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. The […]