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Monthly Archives :

August 2015

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale
Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Rex Securities Law

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator
Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Rex Securities Law

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more.  August18, 2015, Christopher Frederic Veale ,…

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Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Rex Securities Law

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client
Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Rex Securities Law

August18, 2015, Glenn Allen Moffitt,  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…

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Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam
Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam 150 150 Rex Securities Law

August 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…

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Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000
Texas Securities Commissioner John Morgan Fines Citigroup Global Markets $35,000 150 150 Rex Securities Law

August 18, 2015-Austin, Texas John Morgan, Texas Securities Commissioner entered a Consent Order finding that Citigroup Global Markets, Inc. failed to monitor the registration status of sales assistants, some of…

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Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud
Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Rex Securities Law

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest
JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest
William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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