Soreide Law Group is looking into possible investor claims against securities broker Ronald Lewis Millar III (CRD: 3064161, Weston, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Evidently, investors allege sales practice violations in these disputes, including […]

Soreide Law Group, 888-760-6552, obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.” Christopher Lawrence Norris (CRD #4007080, Lakeland, Florida) was barred by FINRA for allegedly misappropriating $19,873.19 from a property owners association for which he served as a treasurer and sat on its board of directors. FINRA’s findings stated […]

James Orlow Maloney (CRD #1056257, South Colorado Springs, Colorado) was assessed a deferred fine of $10,000 and suspended by FINRA for 10 months for allegedly selling equity-indexed annuities (EIAs) outside the scope of his employment with his member firm and without providing the firm any notice of the business activity. FINRA's findings stated that Jim […]