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stockbroker negligence

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,…

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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator
Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 19, 2015- San Antonio, Texas  Joseph DiRago, Jr.    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between June 2011…

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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…

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Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator
Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator 150 150 Rex Securities Law

March 19, 2015  – Connecticut Andre Paul Young   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from June 2010 to June…

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Dallas Based Share Financial Services Sanctioned by Securities Regulators
Dallas Based Share Financial Services Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 16, 2015 Share Financial Services and its President and Chief Compliance Officer Charles Major entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA)…

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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…

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Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud
Buffalo Resident Gregory Gray Arrested in Lake Worth, FL, on Securities Fraud 150 150 Rex Securities Law

March 5, 2015 The Buffalo News reports that Gregory W. Gray, Jr. of Buffalo, New York, recently charged by the SEC for operating a ponzi-like scheme, was arrested at his…

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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…

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RCS Capital Closes Deal on Acquisition of VSR Financial
RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Rex Securities Law

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

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