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securities attorney

Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 30, 2015 Malcolm Jamal Babin  of Baton Rouge, LA , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums
Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums 150 150 Rex Securities Law

July 24, 2015 Charles Myrick Winstead  of Byram,  MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Rex Securities Law

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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TD Ameritrade Fined $300,000 by Texas Securities Regulators
TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Rex Securities Law

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

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J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services
J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 150 150 Rex Securities Law

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

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Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA
Former H.D. Vest Broker Sanctioned for Failing to Report Personal Bankruptcy to FINRA 150 150 Rex Securities Law

July 10, 2015- Jose Palacio  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated FINRA Rules 1122…

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Former PRUCO Securities Broker Christopher Yoon Barred by FINRA
Former PRUCO Securities Broker Christopher Yoon Barred by FINRA 150 150 Rex Securities Law

July 14, 2015 Christopher Yoon  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he: lied to a life insurance…

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Investigation of William Tatro-Former First Allied Securities Stock Broker
Investigation of William Tatro-Former First Allied Securities Stock Broker 150 150 Rex Securities Law

July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…

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Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

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