Soreide Law Group is investigating possible investor claims against securities broker Mark Kemp AKA Mark Alan Kemp [CRD#: 2057200, Corpus Christi, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for McNally Financial Services Corp. Evidently, investors allege sales practice violations in these […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]