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churning

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY 150 150 ER

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd.,  discloses a final regulatory matter resulting in a 3 month…

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Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 150 150 Rex Securities Law

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

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Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts 150 150 Rex Securities Law

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC,  a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

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Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Rex Securities Law

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX

Barrett O. Schultz-McNally Financial Services Broker-Discloses Settlement of Customer Suits-San Antonio, TX 150 150 Rex Securities Law

May  2020- San Antonio, TX According to publicly available records Barrett Oliver Schultz (aka Barrett Creed)  , (CRD# 2741114) ,  a  stockbroker who is employed by McNally Financial Services,  discloses  two recently settled…

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Michael Guilfoyle-Former Legend Securities Broker-Discloses Settlement of Churning Complaint

Michael Guilfoyle-Former Legend Securities Broker-Discloses Settlement of Churning Complaint 150 150 Rex Securities Law

New York UPDATE JUNE 2017–Michael Guilfoyle is not currently registered He left employment at Four Points Capital Partners in 3/2017. ORIGINAL POST 2/2017 Publicly available records of Michael N. Guilfoyle, (CRD#…

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