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stockbroker negligence

Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Rex Securities Law

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Rex Securities Law

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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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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Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX
Frederick Voight Charged by SEC with $114M “Driver Alertness Detection System” Ponzi Scheme-Houston, TX 150 150 Rex Securities Law

August 3, 2015-Hoiuston, Texas Frederick Alan Voight of Richmond, Texas, was charged by the Securities and Exchange Commission with defrauding over 300 investors in a $114 million Ponzi scheme. Investors…

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South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015
South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Rex Securities Law

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

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Securities Arbitration vs. Securities Mediation
Securities Arbitration vs. Securities Mediation 150 150 Rex Securities Law

August 5, 2015 The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving…

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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 Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

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Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Rex Securities Law

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

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