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Monthly Archives :

February 2015

Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud
Charles Kilway of North Richland Hills, TX, Sentenced for Securities Fraud 150 150 Rex Securities Law

February 19, 2015- North Richland Hills, Texas The Texas State Securities Board announced that Charles Wayne Kilway was sentenced to 15 years in state prison for the fraudulent sale of…

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Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action 150 150 Rex Securities Law

February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…

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Alabama Broker Terry Bagwell Sanctioned by Securities Regulator
Alabama Broker Terry Bagwell Sanctioned by Securities Regulator 150 150 Rex Securities Law

UPDATE- April 2016: Bagwell Settles Millions in Customer Claims/ Named in Alabama Securities Commission investigation. See this for more.  February 26, 2015  – Birmingham, Alabama Terry Joe Bagwell   entered into a Letter of…

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Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ
Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ 150 150 Rex Securities Law

Woodcliff Lake, New Jersey UPDATE MAY 2017–According to FINRA records, Jason Kronick was permanently barred by FINRA who found that he willfully failed to disclose a material fact on a…

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EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements
EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Rex Securities Law

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

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Former J.P. Morgan Securities Broker Barred from Securities Industry
Former J.P. Morgan Securities Broker Barred from Securities Industry 150 150 Rex Securities Law

February 23, 2015 Alen Alic  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…

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Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA
Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA 150 150 Rex Securities Law

February 23, 2015 Gregory James Bolduc  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while registered with UnionBanc Investment Services,…

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Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator
Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator 150 150 Rex Securities Law

February 23, 2015 James Rosebrough  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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Ascendiant Capital Markets Named in Regulatory Complaint
Ascendiant Capital Markets Named in Regulatory Complaint 150 150 Rex Securities Law

February 23, 2015 The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against Ascendiant Capital Markets, LLC alleging that they failed to satisfy important supervisory, disclosure and…

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