stockbroker negligence Archives - Page 142 of 149

Rex Securities Law
July 8, 2015
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Ascendiant Capital Markets Sanctioned by Securities Regulator

Ascendiant Capital Markets Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 8, 2015 April 14, 2016

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,…

Rex Securities Law
July 7, 2015
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FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 7, 2015 April 14, 2016

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

Rex Securities Law
July 7, 2015
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Understanding Annuities–Help for Investors from Texas Department of Insurance

Understanding Annuities–Help for Investors from Texas Department of Insurance http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 7, 2015 February 11, 2016

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…

Rex Securities Law
July 7, 2015
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Tampa Woman Pleads Guilty to Embezzlement of Church Funds

Tampa Woman Pleads Guilty to Embezzlement of Church Funds http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 7, 2015 April 14, 2016

July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…

Rex Securities Law
June 26, 2015
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Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 26, 2015 April 14, 2016

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

Rex Securities Law
June 26, 2015
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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 26, 2015 April 14, 2016

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

Rex Securities Law
June 24, 2015
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Allstate Financial Services Broker Barred For Falsifying Insurance Applications

Allstate Financial Services Broker Barred For Falsifying Insurance Applications http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 24, 2015 April 14, 2016

June 23, 2015 Michael G. Seidel entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted falsified applications…

Rex Securities Law
June 24, 2015
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Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration

Dirk Rabenold-NEXT Financial Group Broker-Discloses Settlement of Customer Arbitration http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 24, 2015 June 20, 2017

UPDATE JUNE 2017– FINRA Case 15-2763, which was filed against Dirk Rabenold by a customer of NEXT Financial Group customer alleged that Rabenold recommended an unsuitable investment and sought damages of…

Rex Securities Law
June 23, 2015
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SEC Issues Investor Alert: Five Red Flags of Investment Fraud

SEC Issues Investor Alert: Five Red Flags of Investment Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 23, 2015 February 11, 2016

June 15, 2015 The U.S. Securities and Exchange Commission Office of Investor Education issued an Investor Alert pointing out the Five Red Flags of Investment Fraud: Promises of High Returns…