The Soreide Law Group, based in Florida (888) 760-6552, obtained the following summary from FINRA’s website, under “Disciplinary and Other FINRA Actions March 2015.” Michael Vincent Borja (CRD #5451360, Miami, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA for 45 days for allegedly proceeding with wire transfer requests, from an imposter […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Ralph Joseph Mangini (CRD #1597490, Registered Representative, Yonkers, New York) was fined $10,000 and suspended from association with any FINRA member in any capacity for two months. Mangini consented to the […]

The following information appeared on FINRA’s website under "Disciplinary and Other Actions, August, 2013.” Jennifer Marie Burton (CRD #5019693, Registered Representative, Los Angeles, California) was fined $7,500 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the findings, Burton consented to the described sanctions and to […]