Legend Securities investigation Archives - Page 4 of 4

Rex Securities Law
March 26, 2016
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Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend Securities Broker 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 March 26, 2016 May 30, 2018

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

Rex Securities Law
March 26, 2016
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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration (FINRA Case 15-484) by a customer who…

Rex Securities Law
March 26, 2016
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Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 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 March 26, 2016 March 26, 2016

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…

Rex Securities Law
March 26, 2016
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Losses on GTAT ? Recovery Options For Investors

Losses on GTAT ? Recovery Options For Investors 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 March 26, 2016 March 26, 2016

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

Rex Securities Law
March 26, 2016
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Legend Securities Fined $300,000 by S. Carolina Securities Regulators

Legend Securities Fined $300,000 by S. Carolina 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 March 26, 2016 March 26, 2016

March 18, 2016-Columbia, South Carolina Legend Securities was named in Administrative Order File Number 14108 filed by the Securities Division of the Office of the Attorney General of South Carolina for…

Rex Securities Law
March 26, 2016
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Legend Securities Fined $125,000 Over Penny Stock Sales

Legend Securities Fined $125,000 Over Penny 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 March 26, 2016 March 26, 2016

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

Rex Securities Law
August 22, 2015
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Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator

Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 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 22, 2015 March 28, 2016

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more. August18, 2015, Christopher Frederic Veale ,…