finra arbitration attorney Archives - Page 152 of 170

Rex Securities Law
November 16, 2015
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Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry

Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 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 16, 2015 April 11, 2016

Patrick L. Garrett , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

Rex Securities Law
November 16, 2015
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Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, TX

Marcus Farquhar-Former 1st Global Capital Broker -Sanctioned by Regulator-Edna, 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 November 16, 2015 April 5, 2017

August 7, 2015- Edna, Texas Marcus Farquhar , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2013 to…

Rex Securities Law
November 16, 2015
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Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by Regulators

Phillip Dunwoody Cox- Former Sterne Agee Broker in Atlanta Sanctioned by 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 November 16, 2015 June 26, 2017

July 24, 2015- Atlanta, Georgia Phillip Dunwoody Cox, Jr. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

Rex Securities Law
November 16, 2015
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Dallas Based VCA Securities Censured by Securities Regulators

Dallas Based VCA Securities Censured 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 November 16, 2015 April 19, 2016

August 12, 2015- Dallas, Texas VCA Securities (formerly Bluffview Securities) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

Rex Securities Law
November 16, 2015
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National Planning Corp. Fined by Regulators for Excessive Sales Charges

National Planning Corp. Fined by Regulators for Excessive Sales Charges 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 16, 2015 February 11, 2016

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

Rex Securities Law
November 16, 2015
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J.P. Turner Sanctioned For Excessive Sales Charges

J.P. Turner Sanctioned For Excessive Sales Charges 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 16, 2015 April 11, 2016

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

Rex Securities Law
November 16, 2015
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Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT 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 November 16, 2015 February 11, 2016

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

Rex Securities Law
November 16, 2015
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H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements

H. Beck Sanctioned for Failure to Perform Due Diligence In Connection With Sale of Private Placements 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 16, 2015 April 11, 2016

October 26, 2015- Bethesda, Maryland H. Beck, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May 2008 and…

Rex Securities Law
November 16, 2015
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Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs.

Virtus Investment Advisors Fined $16.5 Million For Using False Performance Data on F-Squared Alpha Sector ETFs. 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 16, 2015 February 11, 2016

November 16, 2015 Virtus Investment Advisers agreed to pay $16.5 million in fines to settle charges with the SEC that it publicized false performance data for the AlphaSector exchange-traded fund…