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24 Nov 2016, 8:19 am by rexsecuritieslaw
FINRA requires brokers … Continue reading Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry → The post Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry appeared first on Rex Securities Law-BLOG. [read post]
26 May 2016, 7:19 am by rexsecuritieslaw
FINRA alleged that from April 2013 to June 2014 … Continue reading PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator → The post PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator appeared first on Rex Securities Law-BLOG. [read post]
30 Mar 2016, 9:34 pm by rexsecuritieslaw
FINRA records also report that Pirrello has been named in … Continue reading Securities Regulator Investigating Garden State Securities Broker Raymond Pirrello → The post Securities Regulator Investigating Garden State Securities Broker Raymond Pirrello appeared first on Rex Securities Law-BLOG. [read post]
30 Mar 2016, 7:36 am by rexsecuritieslaw
… Continue reading Aldo Marchena Sanctioned by Securities Regulator-Northeast Securities Broker → The post Aldo Marchena Sanctioned by Securities Regulator-Northeast Securities Broker appeared first on Rex Securities Law-BLOG. [read post]
2 Aug 2017, 3:21 pm by rexsecuritieslaw
According to the Consent Agreement and Order, from January 2012-December 2016, Newbridge did not … Continue reading Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL → The post Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL appeared first on Rex Securities Law-BLOG. [read post]
30 Mar 2016, 2:28 pm by rexsecuritieslaw
Schaulk, Dawson James Securities Broker, Named in Customer Dispute appeared first on Rex Securities Law-BLOG. [read post]
26 Oct 2017, 11:50 am by rexsecuritieslaw
A few of the prior disciplinary actions related to supervisory deficiencies … Continue reading Wedbush Securities Named In 97th Regulatory Complaint → The post Wedbush Securities Named In 97th Regulatory Complaint appeared first on Rex Securities Law-BLOG. [read post]
20 Mar 2016, 9:41 pm by rexsecuritieslaw
The firm adopted the logic in response to perceived market conditions, … Continue reading Citadel Securities-Numerous Recent Regulatory Sanctions → The post Citadel Securities-Numerous Recent Regulatory Sanctions appeared first on Rex Securities Law-BLOG. [read post]
21 Jul 2016, 11:38 am by rexsecuritieslaw
Lamson, 51, of El Dorado Hills, CA, have been charged with conspiracy to commit securities fraud in connection with a fraudulent scheme to register shell companies with the SEC, issue shares … Continue reading Miami,FL-SEC Charges Two With Securities Fraud → The post Miami,FL-SEC Charges Two With Securities Fraud appeared first on Rex Securities Law-BLOG. [read post]
23 Mar 2015, 12:14 pm by rexsecuritieslaw
Follow links to view orders: In the Matter of William Gwinn and Creative Exteriors In the Matter of Cannon Operating Company, LLC and John Griffin Rex Securities Law , located in Boca Raton, FL, provides representation to  investors in South Carolina and nationwide who are seeking … Continue reading Recent Orders Entered by Securities Commissioner of South Carolina → [read post]
12 Jul 2017, 11:10 am by rexsecuritieslaw
The customer alleged common law fraud, churning, breach … Continue reading Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY → The post Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY appeared first on Rex Securities Law-BLOG. [read post]
24 Apr 2017, 3:31 pm by rexsecuritieslaw
The customer brought an action for common law fraud, breach of fiduciary duty, … Continue reading Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase → The post Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase appeared first on Rex Securities Law-BLOG. [read post]
16 Feb 2017, 10:42 am by rexsecuritieslaw
According to the TSSB Disciplinary Order, while registered as an agent of Northgate Securities, Yrshus received became subject to and received notice of multiple IRA tax liens and a … Continue reading Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston → The post Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston appeared first on Rex… [read post]