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, January, 2015.” BMA Securities aka Burt Martin Arnold Securities, Inc. (CRD #108219, El Segundo, California) was censured, fined $325,000 and ordered to retain, within 30 days of the date of the Notice […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” The information has been condensed. Global Hunter Securities, LLC (CRD #123003, New Orleans, Louisiana) was censured and fined $35,000 for allegedly failing to establish anti-money laundering (AML) procedures. The AML procedures are designed […]