Soreide Law Group, based in South Florida, obtained the following information from the February 2018 Disciplinary Report:  Investacorp, Inc. (CRD #7684, Miami, Florida) was censured and required to provide FINRA a plan to remediate eligible clients who qualified for, but did not receive, the applicable mutual fund sales-charge waiver. As part of this settlement, the […]

A Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s June 2017 Disciplinary Report on South Florida firm:  Legend Equities Corporation (CRD #30999, Palm Beach Gardens, Florida) was censured and required to provide FINRA with a plan to remediate eligible clients who qualified for, but did not receive, the applicable […]