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Municipal Bonds

Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ

Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ

Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Sean J. McElduff ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Rex Securities Law

November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…

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Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds

Further Lane Securities Named In Regulatory Complaint for Excessive Markups on Bonds 150 150 Rex Securities Law

July 2016-New York The FINRA records of Further Lane Securities, L.P. ,  disclose a currently pending regulatory event and 2 prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes 150 150 Rex Securities Law

Orlando, Florida According to FINRA records,  Felix Alberto Bartolomei ,   a stockbroker  employed by Cuso Financial Services , discloses  3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX

Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX 150 150 Rex Securities Law

Houston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico,   sought damages of $17 million  From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…

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Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Rex Securities Law

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

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Newbridge Securities Fined by Regulators for Supervision Deficiencies

Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Rex Securities Law

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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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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