Soreide Law Group, based in South Florida, obtained the following complaint from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as […]

The Financial Industry Regulatory Authority (FINRA) named eight products it will be monitoring in 2015. These are products which could lead to risks for investors, many of whom do not know enough about the products before investing in them. FINRA feels brokers also need to learn more about these products before they sell them to […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $15,000 and required to revise its WSPs (Written Supervisory Procedures). Without admitting or denying the findings, the firm consented to […]