Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” from March 2017: James Carolan Speno (CRD #431912, New York, New York) was assessed a deferred fine of $5,000 and suspended from by FINRA for 30 business days for allegedly exercising discretionary power in client accounts in approximately 1,000 […]