Soreide Law Group obtained the following information from FINRA’s February 2018 Disciplinary Report: Univest Securities, LLC (CRD #36105, New York, New York)   was censured and fined $20,000 by FINRA. A lower fine was imposed after considering, among other things, the Univest Securities revenue and financial resources. FINRA alleges Univest Securities failed to develop and […]

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 […]

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