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IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 3, 2015  – Watertown, NY

Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on the record testimony in connection with  a FINRA investigation to determine whether, while associated with IBN Financial, he had engaged in a private securities transaction.

Exford was barred from association with any FINRA member in any capacity

FINRA Case # 2014039843401

According to FINRA  records, Exford was registered with   IBN Financial Services  from 8/2009-10/2012.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

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