Florida-based Soreide Law Group, (888) 760-6552, recently obtained the following summation of information found on FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Naveen K. Bhagwani (CRD #5423037, West Palm Beach, Florida) was barred by FINRA for alleged unauthorized trades in client’s non-discretionary accounts without the knowledge, authorization, or consent of the clients […]

The Fort Lauderdale-based Soreide Law Group obtained the summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." NSM Securities, Inc. (CRD #134357, West Palm Beach, Florida) and Niyukt Raghu Bhasin (CRD #2282048, Wellington, Florida) NSM Securities was expelled from FINRA membership and Bhasin the founder, owner, President and Chief Executive Officer […]