finra arbitration attorney Archives - Page 154 of 170

Rex Securities Law
November 11, 2015
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Austin Based NFP Advisor Services Fined $500K by Securities Regulators

Austin Based NFP Advisor Services Fined $500K 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 11, 2015 February 11, 2016

July 16, 2015- Dallas Texas NFP Advisor Services ( formerly NFP Securities, Inc.) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

Rex Securities Law
November 11, 2015
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First Southwest Company Sanctioned by Securities Regulators

First Southwest Company Sanctioned 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 11, 2015 February 11, 2016

First Southwest Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

Rex Securities Law
November 10, 2015
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Bonham Texas Man Sentenced for Currency Trading Scheme

Bonham Texas Man Sentenced for Currency Trading Scheme 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 10, 2015 February 11, 2016

November 6, 2015- Sherman, Texas The FBI announced that Frank Edwin Pate, 47, of Bonham, Texas, was sentenced to 210 months in prison for operating a currency trading scheme. He…

Rex Securities Law
November 10, 2015
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Florida Fraudsters Sentenced In Connection with Factoring Scheme

Florida Fraudsters Sentenced In Connection with Factoring Scheme 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 10, 2015 April 11, 2016

November 5, 2015- Orlando, Florida The FBI announced that Brian Newton , age 58, of New Smyrna Beach, FL, was sentenced to 15 years and 8 months and his co-defendant…

Rex Securities Law
November 10, 2015
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Tampa Man Sentenced to 18 Months for Securities Fraud

Tampa Man Sentenced to 18 Months for Securities Fraud 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 10, 2015 April 11, 2016

November 4, 2015- Tampa, Florida The FBI announced that Gignesh Movalia was sentenced to 18 months in prison for operating a $9 million investment fraud scheme involving Facebook stock. Movalia…

Rex Securities Law
November 10, 2015
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Michael Collins of Alice, Texas, Indicted for Securities Fraud

Michael Collins of Alice, Texas, Indicted for Securities Fraud 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 10, 2015 February 11, 2016

October 29, 2015- Alice, Texas The Texas State Securities Board announced that Michael Anthony Collins of Alice, TX, was indicted on charges of securities fraud, theft, and money laundering for…

Rex Securities Law
October 23, 2015
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Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, 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 October 23, 2015 July 18, 2017

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records. Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

Rex Securities Law
September 22, 2015
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McKinney Texas Man Pleads Guilty in Bitcoin Securities Fraud Case

McKinney Texas Man Pleads Guilty in Bitcoin Securities Fraud Case 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 September 22, 2015 February 11, 2016

September 21, 2015-McKinney, Texas Trendon T. Shavers, 33, admitted to running a Ponzi scheme involving bitcoin, a virtual currency, according to the Wall Street Journal. Sentencing is scheduled for February…

Rex Securities Law
September 21, 2015
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FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments 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 September 21, 2015 April 11, 2016

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…