Soreide Law Group, based in South Florida, obtained the following report from FINRA’s January 2018, "Disciplinary and Other FINRA Actions," Report on Miami firm:
Brickell Global Markets, Inc. (CRD #104316, Miami, Florida)
Brickell Global Markets was censured and fined $15,000 by FINRA for allegedly conducting a securities business while failing to maintain its required minimum net capital.
FINRA’s findings stated that the deficiencies occurred after the firm improperly treated a $2.4 million insurance receivable, related to its settlement of a client lawsuit, as an allowable asset for the purpose of calculating its net capital.
Also, FINRA’s findings stated that due to its erroneous net capital computation, the firm filed inaccurate Financial and Operational Combined Uniform Single (FOCUS) Reports and maintained an inaccurate general ledger.
(FINRA Case #2016050832201)
If you’ve experienced losses due to the actions or recommendations of the broker/dealer, Brickell Global Markets of Miami, Florida, call the Soreide Law Group, conveniently located in South Florida, for a no-cost consultation regarding the possible recovery of your losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA. We operate on a contingency fee basis, no fee if no recovery. Let our years of experience work for you.
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