Waddell & Reed Archives - Page 2 of 2 - Rex Securities Law-BLOG

Rex Securities Law
May 20, 2016
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Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 20, 2016 May 20, 2016

Chandler, AZ According to FINRA records, Jason L. Freiwald , a broker who is currently registered with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
March 30, 2016
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Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 March 30, 2016

March 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…

Rex Securities Law
January 21, 2016
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Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 21, 2016 January 21, 2016

January 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…