Soreide Law Group obtained the following information from FINRA's December 2021 Disciplinary Report. William A Fochi Jr (BILL FOCHI JR, WILLIAM A FOCHI) (CRD #1773450, Hebron, Connecticut) On October 6, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which William A Fochi Jr was fined $10,000 and suspended from association with any FINRA […]

Nathan Andrew Harmon (CRD #4988618, San Antonio, Texas) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly engaging in an unapproved outside business activity by selling an equity-indexed annuity not approved for sale by his member firm to a client, and receiving compensation as a result. FINRA's findings […]