FINRA recently announced that Jennifer Evelyn Cheeseman, a former financial advisor with NY Life Securities in Stapleton, Alabama, has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cheeseman consented to the described sanctions and to findings that she altered term life insurance policies in order [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud and bankruptcy law firm based in Boca Raton, Florida. The Firm handles bankruptcy cases on behalf of debtors throughout South Florida, including handling bankruptcy cases (primarily Chapter 7 and Chapter 11 bankruptcy matters) on behalf of debtors based in Delray [...]
 FINRA recently announced that Broad Street Securities, Inc. (a FINRA registered broker-dealer based in Plantation, Florida) has been censured and fined $10,000. Without admitting or denying the findings, the Broad Street Securities, Inc. consented to the entry of findings that the firm, acting through an individual financial advisor, failed to establish and maintain a system [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA Dispute [...]
PMK Securities & Research, Inc. is a full service securities brokerage firm and registered investment adviser headquartered in Delray Beach, Florida (on Atlantic Avenue in downtown Delray Beach). According to its website, PMK Securities and its predecessor firm have provided a range of products and services for private clients, corporations and institutional investors [...]