Soreide Law Group, based in Florida, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018.”  Craig Dean Blattner (CRD #1590301, Longwood, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 15 business days following […]

Chapin Davis, Inc. (CRD #28116, Baltimore, Maryland) was censured and fined $35,000 in connection with the alleged sale of structured products, the firm’s supervisory system and WSPs were inadequate. FINRA's findings stated that Chapin Davis sold approximately $24.5 million in structured notes and Federal Deposit Insurance Corporation (FDIC) insured structured certificates of deposit (CDs) to […]

Raymond James, FINRA ID # 11-03503 (Bradenton, FL, 8/21/2012) A split FINRA arbitration panel awarded $985,700, including triple damages, to an elderly customer on his misappropriation claim. This award against Paul David Arnold, and Raymond James and Associates, Inc., of Bradenton, Florida, involved the purchasing of an annuity, electronic transfers and conversion of funds of […]