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Unfair Bond Pricing

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas 150 150 Rex Securities Law

February 3, 2016 – Topeka, Kansas Bankers & Investors Co.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…

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Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Rex Securities Law

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 150 150 Rex Securities Law

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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