Category Archives: Brickell Global Markets

Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges

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. 

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