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excessive markup markdowns

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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Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups

Leigh M. Garber-Former Ridgeway & Conger Broker-Discloses Regulatory Investigation Over Excessive Markups 150 150 Rex Securities Law

Jericho, New York According to FINRA records,  Leigh M. Garber ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter and a prior final regulatory matter. The Financial Industry Regulatory Authority…

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Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 150 150 Rex Securities Law

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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