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 […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:” Headwaters BD, LLC (CRD #117042, Denver, Colorado), Paul Edward Janson (CRD #4992234, Registered Principal, Avon, Connecticut), Roberta Ann Laraway (CRD #4845302, Registered Principal, Lone Tree, Colorado) and Philip Williams Seefried Jr. (CRD #1747086, Registered Principal, Denver Colorado) submitted an Offer of Settlement in […]