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UIT (Unit Investment Trust)

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL 150 150 Rex Securities Law

June 2017-Delray Beach, FL The FINRA records of  Christopher R. Hickman ,  a  former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons 150 150 Rex Securities Law

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

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Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) ,  a  stockbroker who is currently registered with Revere Securities, LLC  disclose a pending customer dispute.  The Financial Industry Regulatory Authority…

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Investors Capital Corp.-How to Recover Damages For Investment Losses

Investors Capital Corp.-How to Recover Damages For Investment Losses 150 150 Rex Securities Law

November 2016- Lynnfield, MA Investors Capital Corp.  will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…

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Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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Investors Capital Corporation Fined $250,000 by Securities Regulators

Investors Capital Corporation Fined $250,000 by Securities Regulators 150 150 Rex Securities Law

October 2014 The FINRA records of  Investors Capital Corp.,  a  broker dealer headquartered in Lynnfield, MA,  that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

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Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas 150 150 Rex Securities Law

February 3, 2016 – Topeka, Kansas Bankers & Investors Co.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…

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NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Rex Securities Law

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

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