The Pompano Beach, Florida-based Soreide Law Group obtained the following information from the Financial Industry Regulatory Authority (FINRA) regarding two South Florida broker/dealers. Newbridge Securities Corp. and Shearson Financial Services LLC, both based in Boca Raton, Florida, were disciplined by FINRA. According to the FINRA report, Newbridge Securities Corp. allegedly failed to apply discounts to […]

The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website "Disciplinary and Other FINRA Actions February 2015." NEWBRIDGE SECURITIES CORPORATION (CRD #104065, Ft. Lauderdale, Florida) was censured, fined $138,000 and required to revise its WSPs for allegedly selling (buying) corporate bonds to (from) customers, and failed to sell (buy) such bonds at […]