cape securities problem Archives - Rex Securities Law-BLOG

Rex Securities Law
August 11, 2016
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John J. Santariello-Former Arive Capital Markets Broker-Discloses Customer Complaint Alleging Churning

John J. Santariello-Former Arive Capital Markets Broker-Discloses Customer Complaint Alleging Churning 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 11, 2016 October 11, 2019

October 2019- Coram, NY The FINRA records of John J. Santariello , a stock broker who is not currently registered with any broker dealer and who last worked for Arive Capital Markets, disclose …

Rex Securities Law
June 6, 2016
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Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 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 June 6, 2016 October 26, 2017

October 2017-Austin, Texas According to FINRA records, Paul Jacobs, a stockbroker who is currently employed by Cape Securities, discloses a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Rex Securities Law
April 11, 2016
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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 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 April 11, 2016 April 19, 2018

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

Rex Securities Law
July 16, 2015
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Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators 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 July 16, 2015 April 14, 2016

May 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…