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securities attorney

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Rex Securities Law

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Rex Securities Law

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

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Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Rex Securities Law

The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…

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Alluvion Securities Hit With Net Capital Violation Suit by Regulators
Alluvion Securities Hit With Net Capital Violation Suit by Regulators 150 150 Rex Securities Law

June 19, 2015 FINRA Department of Enforcement filed  Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…

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Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers
Morgan Stanley Smith Barney Fined $650K for Theft by New Jersey/Fort Lauderdale Brokers 150 150 Rex Securities Law

June 19, 2015 Morgan Stanley Smith Barney  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June 2009-November…

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Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity
Ausdal Financial Partners Hit With $1.2M Arbitration Award on Variable Annuity 150 150 Rex Securities Law

June 8, 2015-Boston, MA An all public FINRA arbitration panel ordered Ausdal Financial Partners and broker Joan Norton to pay  a customer over $1.2 million on claims of negligence, unsuitability, breach…

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First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds
First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Rex Securities Law

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Rex Securities Law

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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Plant City Florida Insurance Agent Charged with Fraud
Plant City Florida Insurance Agent Charged with Fraud 150 150 Rex Securities Law

June 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…

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