Florida-based Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Jennifer Joice Trowbridge (CRD #4310649, Boca Raton, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for two months for allegedly recommending a series of mutual fund switches in clients […]

Essex Securities LLC (CRD #46605, Topsfield, Massachusetts) was censured, fined $20,000, ordered to pay $6,009.70, plus interest, in restitution to clients and required to review its supervisory systems and WSPs regarding the sale of mutual funds for compliance with FINRA rules and the federal securities laws and regulations. FINRA imposed a lower fine in this […]