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, the firm and its predecessor firm have provided a range of products and services for private clients, corporations and institutional investors for over 18 years. It further claims to have become one of the largest privately-owned firms in the region.
PMK Securities clears its trades through First Clearing, LLC, a subsidiary of Wachovia Securities.
According to the firm’s FINRA Broker Report, PMK Securities has been named in four regulatory events. The State of Florida has investigated PMK for failure to maintain and implement written supervisory procedures in accordance with FINRA Rule 3010 and Rule 3E-600.13 of the Florida Administrative Code. It has also been fined $1,000 by FINRA for failure to enforce its written supervisory procedures.
If you have questions about investment you have made with PMK Securities, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help. To speak to a securities attorney, please call our Chicago office at 312-238-9650 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
For more information on The White Law Group, visit https://whitesecuritieslaw.com.
Tags: broker fraud, Delray Beach, Delray Beach brokerage firm, FINRA, Florida, investment losses, investor protection, NASD, PMK Securities, SEC, securities arbitration, Securities Attorney, Securities Lawyer Last modified: December 8, 2022
