Cold Calling Archives - Page 2 of 2 - Rex Securities Law-BLOG

Rex Securities Law
September 20, 2015
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South Florida Men Named in Alleged Commodities Scam by Regulators

South Florida Men Named in Alleged Commodities Scam by Regulators http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 20, 2015 April 12, 2016

September 17, 2015 The U S Commodity Futures Trading Commission (CFTC) announced the filing of an enforcement action in US District Court for the Southern District of Florida against: Mintco…

Rex Securities Law
September 16, 2015
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Global Arena Capital Brokers Sanctioned by Securities Regulators

Global Arena Capital Brokers Sanctioned by Securities Regulators http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2015 April 12, 2016

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making misleading sales pitches and account churning at the…

Rex Securities Law
June 17, 2015
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Garden State Securities Discloses 21 Regulatory Events

Garden State Securities Discloses 21 Regulatory Events http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2015 June 9, 2017

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

Rex Securities Law
April 22, 2015
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Workshop To Be Held in Bowling Green, KY, April 30, to Educate Seniors on Financial Fraud

Workshop To Be Held in Bowling Green, KY, April 30, to Educate Seniors on Financial Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 22, 2015 April 28, 2016

April 22, 2015-Bowling Green Kentucky The Kentucky Department of Financial Institutions is holding a workshop on April 30, 2015, at Knicely Conference Center, Western Kentucky University to educate seniors on…

Rex Securities Law
April 13, 2015
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Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator

Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 13, 2015 April 28, 2016

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

Rex Securities Law
February 15, 2015
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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues

Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2015 May 5, 2016

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…