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Debentures

Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ

Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ 150 150 Rex Securities Law

UPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…

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Stock Broker Sanctioned for Sale of GWG Debentures to Retirees

Stock Broker Sanctioned for Sale of GWG Debentures to Retirees 150 150 Rex Securities Law

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

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