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Mutual Fund Switching

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Rex Securities Law

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

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George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute 150 150 Rex Securities Law

August  2016-Orlando / The Villages, Florida The FINRA records of George Sefanou ,  a  stock broker who is currently employed by Edward Jones  , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 150 150 Rex Securities Law

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…

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John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA

John D. Wiswell-American Financial Portfolios Services Broker Sanctioned by Regulators-Stuart, FLA 150 150 Rex Securities Law

December 30, 2015- Stuart, Florida John D. Wiswell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American…

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Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account 150 150 Rex Securities Law

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay  a 92 year old widow over $1 million for churning her account. The victim…

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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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Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry

Justin Amaral, Morgan Stanley Broker, Barred from Securities Industry 150 150 Rex Securities Law

June 19, 2015 Justin Amaral  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…

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Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX

Douglas Dannhardt-Former Prospera Financial Broker- Sanctioned for Churning Accounts-San Antonio, TX 150 150 Rex Securities Law

April 2, 2015-San Antonio, Texas  FINRA records report that Douglas Joseph Dannhardt   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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