Unauthorized Trading Archives - Page 32 of 33

Rex Securities Law
July 17, 2015
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Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 17, 2015 April 14, 2016

July 13, 2015 Ingrid Bachelor entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

Rex Securities Law
July 15, 2015
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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano

Former Wunderlich Securities Broker Sanctioned By Regulators-Plano https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 15, 2015 April 20, 2016

July 10, 2015-Dallas, TX Joseph C. Schroeder entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: violated NASD Rule…

Rex Securities Law
June 22, 2015
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Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 April 12, 2017

June 22, 2015 Tyler Powell entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he exercised discretion in a…

Rex Securities Law
June 3, 2015
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Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 March 24, 2016

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…

Rex Securities Law
June 1, 2015
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Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 1, 2015 February 11, 2016

June 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

Rex Securities Law
April 23, 2015
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Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2015 April 28, 2016

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

Rex Securities Law
March 22, 2015
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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator

Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 April 28, 2016

March 19, 2015- San Antonio, Texas Joseph DiRago, Jr. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2011…

Rex Securities Law
March 22, 2015
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Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission

Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 June 7, 2017

March 17, 2015 Armen Bahadourian entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in late 2012, while registered with…

Rex Securities Law
February 26, 2015
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Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ

Jason Kronick-Former Standard Credit Securities Stockbroker-Sanctioned by FINRA-Woodcliff Lake, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 26, 2015 May 26, 2018

Woodcliff Lake, New Jersey UPDATE MAY 2017–According to FINRA records, Jason Kronick was permanently barred by FINRA who found that he willfully failed to disclose a material fact on a…