Susan M. Diamond, Lake Worth, FL was fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and received a four month suspension. Felix Investment, the New Jersey based firm she worked with, was additionally fined $300,000 and Frank G. Mazzola who is part owner of Felix, was barred from the industry by FINRA. According to […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Lisa Ann Brislin (CRD #3260935, Buston, Maine) was fined $7,500 and suspended by FINRA for 30 days for allegedly providing false information on her firm’s internal system on three separate occasions. According […]