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E.S. Financial Services

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

Miami Based Brickell Global Markets (formerly E.S. Financial Services) Pays $1 Million to Settle SEC Charges 150 150 Rex Securities Law

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…

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FINRA Announces February 2013 Disciplinary Actions

FINRA Announces February 2013 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces February 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…

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