The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website "Disciplinary and Other FINRA Actions February 2015." NEWBRIDGE SECURITIES CORPORATION (CRD #104065, Ft. Lauderdale, Florida) was censured, fined $138,000 and required to revise its WSPs for allegedly selling (buying) corporate bonds to (from) customers, and failed to sell (buy) such bonds at […]

Cantor Fitzgerald & Co. (CRD #134, New York, New York) was censured, fined $65,000 and required to revise its WSPs (Written Supervisory Procedures). Allegedly, Cantor Fitzgerad & Co. failed to publish immediately a bid or offer that reflected the price and the full size of customer limit orders for over-the-counter (OTC) equity securities, held by […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]