February 4, 2016- Miami, Florida
The Securities & Exchange Commission (SEC) announced that Miami based Brickell Global Markets (formerly E.S. Financial Services) agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules for failing to identify non-U.S. citizen customers.
See this for the SEC press release.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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