fbpx

Fifth Third Securities

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Rex Securities Law

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

read more

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Rex Securities Law

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

read more

Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator

Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator 150 150 Rex Securities Law

March 20, 2015-Cincinnati, OH Matthew Roger Quinn   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed to provide on-the-record…

read more

This site is protected by wp-copyrightpro.com