Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.” William Wesley Marshall (CRD #3267723, Frisco, Texas) was fined $10,000 and suspended by FINRA for 15 months for allegedly participating in the sale of $1.72 million of privately-issued preferred stock without having provided prior written […]

(Note to our readers: Soreide Law Group has filed 3 FINRA arbitrations against Dean S. Mustaphalli for our clients in New York totaling over $1 million in losses.) Dean Sadrudin Mustaphalli (CRD #2792038, Commack, New York) was assessed a deferred fine of $20,000, suspended from association with any FINRA member in any capacity for two […]