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PNC Investments

Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ

Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ 150 150 Rex Securities Law

June 2017 – New York, City The FINRA records of  Christopher C. Jansen ,  a  stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute,  3 prior customer disputes and…

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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Rex Securities Law

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records

Securities Regulators Fine 12 Firms over $14 million for Failing to Protect Records 150 150 Rex Securities Law

December 2016- Washington In a News Release, the Financial Industry Regulatory Authority (FINRA) announced that the following firms were fined a total of $14.4 million for deficiencies relating to the…

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Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Rex Securities Law

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

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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 150 150 Rex Securities Law

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…

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