fbpx

securities attorney

Evan Kochav-Former World Equity Group Broker-Indicted
Evan Kochav-Former World Equity Group Broker-Indicted 150 150 Rex Securities Law

March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then…

read more

South Carolina Regulators Revoke Registration of Broker William B. Guido
South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

read more

Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry
Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry 150 150 Rex Securities Law

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  Nougzust failed to provide…

read more

Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator
Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

In March 2015, Daniel Gregory Retzke   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  during the course of an investigation…

read more

Vanguard Marketing Corporation Fined $350,000 by Securities Regulator
Vanguard Marketing Corporation Fined $350,000 by Securities Regulator 150 150 Rex Securities Law

March 6, 2015 Vanguard Marketing Corporation    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between January 2011 through December 2013,…

read more

Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission
Armen Bahadourian-Former UnionBanc Broker Sanctioned for Trading Without Customer’s Permission 150 150 Rex Securities Law

March 17, 2015   Armen Bahadourian   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  in late 2012, while registered with…

read more

Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender
Convicted Irving Texas “Salad Bowl” Fraudster Pleads Guilty to Failure to Surrender 150 150 Rex Securities Law

March 17,2015-Irving Texas The FBI announced that Michael David Carroll, 39, pleaded guilty to the federal offense of failing to surrender to serve a 70 month sentence in an investor…

read more

Girard Securities Acquisition Closed by RCS Capital Group
Girard Securities Acquisition Closed by RCS Capital Group 150 150 Rex Securities Law

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over  $10  billion of assets and 250 financial advisors. They become a part of the  Cetera…

read more

Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine
Former Pompano Beach Florida Lawyer Hit With $1.5 Million SEC Fine 150 150 Rex Securities Law

March 11, 2015- A default judgment was entered against former Pompano Beach, FL, lawyer Guy Jean-Pierre (aka Marcelo Dominguez de Guerra) in favor of the Securities and Exchange Commission (SEC).…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com