The Florida-based Soreide Law Group, (888) 760-6552 obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions April 2015.” Souza Barros Securities, Inc. (CRD #149032, Miami, Florida) was censured and fined $75,000 by FINRA for allegedly failing to implement an adequate AML (Anti Money Laundering) program designed to detect and […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Lampost Capital, L.C. (CRD® #43706, Boca Raton, Florida)and Gregg Allan Pollack (CRD #2653630, Registered Principal, Boca Raton, Florida) firm was censured and fined $50,000, Pollack was fined $5,000 and suspended […]

The following article was found on FINRA's website: Tradespot Markets Inc. (CRD #29683, Davie, Florida) and Mark Bedros Beloyan (CRD #1392748, Registered Principal, Davie, Florida) submitted an Offer of Settlement in which the firm was censured and fined $25,000, and Beloyan was suspended from association with any FINRA member in any capacity for one month […]