Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2018.” PATRICIA GAIL PETERSON (PATRICIA EVERSHED,PATRICIA EVERSHED PETERSON)  (CRD #1962901, Henderson, Nevada) was fined $7,500 and suspended by FINRA in all capacities for 20 business days for allegedly using discretion to place trades in the accounts of her […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report April 2017: Joseph Henry Murphy III (Joe Murphy) (CRD #1829393, Madison, Wisconsin) was fined $5,000 and suspended by FINRA for 10 business days for allegedly exercising discretion in client accounts that were unrelated, non-discretionary accounts. According to FINRA, these transactions occurred on three separate […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2017.” Paul McLellan Alexander Jr. (CRD #4285605, Jupiter, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA for 20 business days because, allegedly against his […]

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” Armando Fernandez (CRD #3079602, Miami Shores, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for 20 business days. According to FINRA’s findings, allegedly Fernandez exercised discretion in a […]

Leonard Eugene Tanner (CRD #442470, Indianapolis, Indiana) Alternate Names: GENE TANNER, LEONARD E TANNER was fined $15,000 and suspended from association with any FINRA member in any capacity for 10 business days. Allegedly, Tanner exercised discretion in executing transactions in approximately 90 client accounts without obtaining the clients’ written authorization and without his member firm’s […]

Raymond Thomas Clark (CRD #3120696, Williamsville, New York) was barred by FINRA for failing to appear for FINRA-requested on-the-record testimony. This request was related to an investigation into whether he allegedly executed excessive and/or unauthorized transactions in customer accounts, exercised discretion without authorization, and accepted trade instructions from an individual who was not authorized to […]

Michael Richard Crow (CRD #57845, San Jose, California) was fined $7,500 and suspended by FINRA for 30 business days for allegedly exercising discretion in a client’s account without his member firm’s prior written authorization. FINRA's findings stated that allegedly Crow had exercised discretion in a client’s non-discretionary account and without a power of attorney after […]