Soreide Law Group is conveniently based in Pompano Beach, Florida, and we represent our clients nationwide before FINRA.  We obtained the following information regarding a Florida broker on FINRA’s website from the April, 2017 Disciplinary Report: William Bruckner (CRD #5754875, West Palm Beach, Florida) was fined $5,000 and suspended by FINRA for 15 business days […]

Elevation, LLC (CRD #140341, Charlotte, North Carolina)   submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000.   Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it commenced an options business, engaged in options transactions […]