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Monthly Archives :

August 2015

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement
Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Rex Securities Law

August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Rex Securities Law

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Rex Securities Law

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Rex Securities Law

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry
Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Rex Securities Law

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 30, 2015 Malcolm Jamal Babin  of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Woodbury Financial Broker Sanctioned by Securities Regulator
Woodbury Financial Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 27, 2015 Michael Jeffrey Talin  of Los Alamitos, CA, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator
Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 20, 2015 Andrew Joseph Thomas  of Boerne, Texas, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums
Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums 150 150 Rex Securities Law

July 24, 2015 Charles Myrick Winstead  of Byram,  MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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