Fort Lauderdale-based Soreide Law Group recently obtained this summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.” Richard Happle (CRD #1095540, St. Petersburg, Florida) was assessed a deferred fine of $5,000 and suspended by for 10 business days. Allegedly, Happle failed to execute a client's trade order. FINRA's findings stated […]