Cambridge Investment Research problem Archives - Page 2 of 2

Rex Securities Law
November 19, 2015
No Comments

Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA

Cambridge Investment Research Broker Sanctioned by Securities Regulator- Metairie, LA 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 November 19, 2015 April 11, 2016

September 22, 2015- Metairie, LA Ralph Savoie , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

Rex Securities Law
November 18, 2015
No Comments

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds

Former Cambridge Investment Research Broker Barred From Industry In Connection Alleged Theft of Funds 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 November 18, 2015 April 11, 2016

August 18, 2015- Henderson, Nevada Glenn Allen Moffitt , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

Rex Securities Law
August 24, 2015
No Comments

Former Cambridge Investment Research Broker Charged with Felony

Former Cambridge Investment Research Broker Charged with Felony 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 August 24, 2015 April 12, 2016

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…