Category Archives: Failure to Deliver Prospectus

First Southwest Company Sanctioned by Securities Regulators

First Southwest Company  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26, 2013, the firm failed to deliver Exchange Traded Fund (ETF) prospectuses to its customers in violation of the Securities Act and FINRA Rule 2010.

AWC NO. 2013038322901

First Southwest Company was censured and fined $450,000.  

First Southwest Company  has been a FINRA member since 1946, is headquartered in Dallas, Texas , and has branch offices nationwide, from Alaska to Florida.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

June 9, 2015

Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May 2011 through May 2012, they failed to provide prospectuses to customers who purchased exchange traded funds (ETFs) as required by securities laws.

Bolton Global Capital  was censured and  fined $35,000 .

Disciplinary Proceeding NO. 2012030523201

Bolton Global Capital is based in Bolton, MA, and has 115 representatives in 53 branch offices.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870