SUMMIT BROKERAGE SERVICES Reprimanded By FINRA The Financial Industry Regulatory Authority (FINRA”) announced that it sanctioned Summit Brokerage Services Inc. (CRD#: 34643, Boca Raton, Florida). Evidently, Summit failed to supervise securities brokers’ investment recommendations to prevent excessive trading. The securities firm also failed to supervise securities brokers’ use of consolidated reports. Summit “accepted” that it […]

Soreide Law Group Investigating IMS Securities For Unsuitability Soreide Law Group is investigating claims on behalf of investors who purchased investments from IMS Securities, Inc. (CRD#: 35567, Houston, Texas) – a brokerage firm that has been expelled by the Financial Industry Regulatory Authority (“FINRA”) for failing to pay a fine. FINRA fined the firm pursuant […]