Soreide Law Group is often involved in both mediations and arbitrations, and are asked quite frequently what the difference is between the two. Below is a brief summary on what FINRA considers an arbitration and a mediation. An arbitration is adjudicated which is a legal process by which an arbitrator reviews evidence and argumentation including […]

In a May 9th., 2013 article from Reuters, Suzanne Barlyn writes about the three men, who made a living in the U.S. securities industry, and how it's not easy to successfully reverse disciplinary sanctions from FINRA. Penalties are likely to stick, and the consequences can drag out for years. According to the Financial Industry Regulatory […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Robert Joseph Eanell (CRD #2802778, Registered Representative, St. Petersburg, Florida) fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Eanell consented to the described sanctions and […]