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May 19, 2014
New Orleans Firm Censured and Fined Over Anti-Money Laudering Procedures in Sale of Penny-Stock Securities

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 […]

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