Sandlapper Securities Broker Kevin Nevin Barred, Facing Investor Disputes Soreide Law Group wants to share some important information with you in regard to securities broker Kevin Mark Nevin (CRD#: 2460059, Edina, Minnesota). Evidently, Nevin worked for firms Sandlapper Securities (2015 to 2019) and Dempsey Lord Smith LLC (2019 to 2021). FINRA BrokerCheck shows that Nevin […]

WASHINGTON — It was announced on FINRA's website that The Financial Industry Regulatory Authority (FINRA) has fined Southwest Securities, Inc., of Dallas, $650,000 for deficiencies in due diligence, risk assessment and written supervisory procedures that permitted one of its correspondent firms, Cutler Securities, to create risk for Southwest through improper short sales. FINRA also required Southwest […]