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Finance 500

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA

William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Rex Securities Law

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Rex Securities Law

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Rex Securities Law

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Rex Securities Law

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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