Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]