Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2017.”  Scott Jason Wallach (CRD #3108314, Glen Rock, New Jersey)  was fined $5,000, suspended by FINRA for one month and ordered to pay $873.59, plus interest, in disgorgement of commissions received for allegedly effecting five unauthorized trades in […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: SUMMIT BROKERAGE SERVICES, INC., and their registered representative, JOEL EARL ARCHER  The Claimant, a retired woman from California, had received a cold call from SUMMIT BROKERAGE SERVICES’ broker, JOEL ARCHER in January 2012, and opened two accounts, an IRA and […]