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stockbroker negligence

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Rex Securities Law

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy

Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 150 150 Rex Securities Law

August 7, 2015, Kevin C. Trost,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

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Signator Investors, Inc. Fined $450,000 for Supervisory Failures

Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Rex Securities Law

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Rex Securities Law

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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Tampa Man Pleads Guilty In Facebook Pre-IPO Scam

Tampa Man Pleads Guilty In Facebook Pre-IPO Scam 150 150 Rex Securities Law

August 13, 2015-Tampa, Florida The FBI announced that Gignesh Movalia, 40, of Tampa, pleaded guilty to one could of investment advisor fraud in connection with his operation of the OM…

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Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Rex Securities Law

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show

Dallas Broker Sanctioned for Misrepresentations Made on RadioTalk Show 150 150 Rex Securities Law

August 4, 2015 Daniel Levin, of Dallas, TX ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he made statements…

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Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator

Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Rex Securities Law

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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