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28 Mar 2017, 12:53 pm by rexsecuritieslaw
The complaints allege that Lek and his company were involved in manipulative trading in a customer account known … Continue reading Lek Securities Named in Market Manipulation Regulatory Action → The post Lek Securities Named in Market Manipulation Regulatory Action appeared first on Rex Securities Law-BLOG. [read post]
23 Jun 2017, 9:42 am by rexsecuritieslaw
Although FINRA’s investigation of this issue in 2008 led to an agreement by … Continue reading Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies → The post Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies appeared first on Rex Securities Law-BLOG. [read post]
17 Feb 2016, 9:49 am by rexsecuritieslaw
February 17, 2016- Plano, Texas Rex Securities Law is investigating VFG Securities, a broker dealer headquartered in Culver City California, with offices in Plano, Texas, in connection with the sale of real estate investment trusts (REITs), direct participation programs (DPPs) and other alternative investments. [read post]
10 Nov 2015, 1:55 pm by rexsecuritieslaw
Rex Securities Law , located … Continue reading Tampa Man Sentenced to 18 Months for Securities Fraud → [read post]
11 Feb 2016, 10:34 am by rexsecuritieslaw
February 11, 2016- Richardson, Texas  Rex Securities Law is investigating Harris Wayne Kirk ,  a stock broker currently registered with  Reef Securities, Inc. [read post]
15 Jun 2016, 3:07 pm by rexsecuritieslaw
… Continue reading Legend Securities Loses Arbitration Hearing Brought by Former Customer → The post Legend Securities Loses Arbitration Hearing Brought by Former Customer appeared first on Rex Securities Law-BLOG. [read post]
19 Jul 2016, 1:59 pm by rexsecuritieslaw
In addition brokers are required … Continue reading Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds → The post Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds appeared first on Rex Securities Law-BLOG. [read post]
12 Jun 2017, 3:22 pm by rexsecuritieslaw
FINRA requires brokers and brokerage firms to report customer … Continue reading First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX → The post First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX appeared first on Rex Securities Law-BLOG. [read post]
28 Mar 2017, 5:04 pm by rexsecuritieslaw
Saint Louis, Missouri According to publicly available records, in July 2015,  Rainmaker Securities  , (CRD# 132995) ,  and its President Glen Anderson (CRD#5030000) entered into a Letter of Acceptance Waiver and Consent with FINRA to resolve allegations that from June 2011 through September 2014, Anderson failed to devote adequate time, attention and resources toward compliance and supervision in … Continue reading Rainmaker Securities… [read post]
26 May 2016, 7:31 am by rexsecuritieslaw
PTX Securities (fka Balanced FInancial Securities) was sanctioned by FINRA in April 2016 for failure to perform adequate due diligence in connection with the sale of two private placement oil and … Continue reading How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities → The post How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities appeared first on Rex… [read post]
26 Mar 2016, 11:42 am by rexsecuritieslaw
Jason Klabal has been named … Continue reading Jason Harris Klabal Investigation-Legend Securities Broker → The post Jason Harris Klabal Investigation-Legend Securities Broker appeared first on Rex Securities Law-BLOG. [read post]
26 Mar 2016, 12:23 pm by rexsecuritieslaw
Decker Investigation-Legend Securities Broker appeared first on Rex Securities Law-BLOG. [read post]
19 Mar 2015, 1:37 pm by rexsecuritieslaw
Rex Securities Law , located in Boca Raton, FL, provides representation to  investors  nationwide … Continue reading Girard Securities Acquisition Closed by RCS Capital Group → [read post]
11 Oct 2017, 10:18 am by rexsecuritieslaw
LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX appeared first on Rex Securities Law-BLOG. [read post]
1 Aug 2017, 2:13 pm by rexsecuritieslaw
He will succeed current Commissioner John Morgan who will retire August 31 after 33 years … Continue reading Texas Securities Board Appoints New Commissioner-Austin, TX → The post Texas Securities Board Appoints New Commissioner-Austin, TX appeared first on Rex Securities Law-BLOG. [read post]
12 Apr 2016, 6:51 am by rexsecuritieslaw
  Johnson’s current FINRA records report the following additional disclosures: 2/23/2016-State of Illinois … Continue reading Eric Johnson Investigation Update-Former Redridge Securities Stock Broker → The post Eric Johnson Investigation Update-Former Redridge Securities Stock Broker appeared first on Rex Securities Law-BLOG. [read post]
21 Jan 2016, 10:11 am by rexsecuritieslaw
Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. [read post]
8 Jul 2016, 12:30 pm by rexsecuritieslaw
  The … Continue reading Garden State Securities Order to Pay Damages for Investment Losses → The post Garden State Securities Order to Pay Damages for Investment Losses appeared first on Rex Securities Law-BLOG. [read post]
30 Mar 2016, 10:33 am by rexsecuritieslaw
Comuzzi was barred from the securities industry by FINRA in … Continue reading Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL → The post Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL appeared first on Rex Securities Law-BLOG. [read post]