Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” VFG Securities, Inc. (CRD® #15121, Culver City, California) and Jason Bryce Vanclef (CRD #5096529, San Luis Obispo, California) VFG Securities, Inc. was censured and fined $50,000, of which $10,000 is joint and several with Vanclef. Vanclef was […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the following summary of information located on FINRA’s website, under “Disciplinary and Other FINRA Actions, August, 2014.” 79 Capital Securities, LLC (CRD #145511, Orlando, Florida) and Michael Maurice Ward (CRD #2853262, Orlando, Florida) 79 Capital Securities was censured and fined $25,000, jointly with Michael M. Ward […]

Infinex Investments, Inc. (CRD #35371, Meriden, Connecticut) was censured, fined $75,000 by FINRA, and ordered to pay $287,171.75 in restitution to it's clients. Infinex Investments, Inc., allegedly failed to review non-traditional exchange-traded funds (ETFs) at the same level that other new products offered for sale to their customers. FINRA's findings stated that Infinex Investments registered […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website listed under “Disciplinary and Other FINRA Actions, March, 2014.” Jeffrey Griffin Lane (CRD #1663977, Registered Principal, Darien, Connecticut) and Robert Marcus Lane Jr. (CRD #1411773, Registered Principal, North Palm Beach, Florida) FINRA has fined Jeffrey Lane $25,000, barred him from […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $15,000 and required to revise its WSPs (Written Supervisory Procedures). Without admitting or denying the findings, the firm consented to […]

The following summation was obtained from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Martinez-Ayme Financial Group Incorporated dba Martinez-Ayme Securites (CRD #109838, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that an issuer raised […]

The following summation was obtained from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Martinez-Ayme Financial Group Incorporated dba Martinez-Ayme Securites (CRD #109838, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that an issuer raised […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. VSR Financial Services, Inc. (CRD #14503, Overland Park, Kansas) and Donald Joseph Beary (CRD #15818, Registered Principal, Lenexa, Kansas) the firm was censured and fined $550,000. Beary was […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” William Howard Buckley (CRD #3074452, Registered Representative, Punta Gorda, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Buckley […]