FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
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.
FINRA found that Eric Kleiner (CRD 4135180) refused to provide documents and information it requested during an investigation. Without admitting or denying the findings, Kleiner consented to the sanction and to the entry of findings.
James Simmons (CRD 2438224) says he is not a respondent in a pending arbitration that appears on his BrokerCheck report. A claimant filed it on September 15, 2026, and the disclosure names Alexander Capital as the firm. The allegations are unproven, and no arbitrator has ruled on them. His statement disputes the claimant's account.
Diana Leon's BrokerCheck report shows a $700,000 settlement of a structured note arbitration in September 2026. Leon's CRD number is 4857407. The disclosure names Woodbury Financial as the firm, as do the other disputes on her report. Each involves structured notes, and each settled in September 2026.
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