Soreide Law Group has obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2015.” Malcolm McGreggor Meikle Jr. (CRD #331313, Standish, Maine) was assessed a deferred fine of $10,000 and suspended by FINRA for 20 business days for allegedly purchasing Unit Investment Trusts (UITs) for clients without prior […]

Soreide Law Group, (888) 760-6552, has obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2014.” William Bradford Coolidge (CRD #1636957, Registered Representative, Cordova, Tennessee) was barred by FINRA for allegedly effecting trades in elderly clients’ accounts without written authorization or his firm’s acceptance of their accounts as discretionary. […]

Soreide Law Group, PLLC, is currently investigating Tim Cerny and M & I Financial Advisors. Tim Cerny recently entered into a Letter of Acceptance, Waiver and Consent with FINRA, suspending him for 10 days and was fined $20,000. This action was related to the sales practices of the First Trust Income Allocation UIT (Unit Investment Trust) for a 66 year-old […]