Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2016.” Robert James Batchen (CRD #2106288, Wheeling, Illinois) was assessed a deferred fine of $15,000, and suspended by FINRA for five months for allegedly effecting discretionary trades in a client’s accounts. FINRA’s findings stated that although the client […]