stockbroker negligence Archives - Page 149 of 149

Rex Securities Law
February 17, 2015
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Sanders Morris Harris Sanctioned by Securities Regulator

Sanders Morris Harris 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 February 17, 2015 May 5, 2016

December 31, 2014-Houston, Texas Sanders Morris Harris, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

Rex Securities Law
February 17, 2015
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Racine Broker Michael Cuccia Sanctioned by Securities Regulator

Racine Broker Michael Cuccia 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 February 17, 2015 May 5, 2016

February 13, 2015-Racine, Wisconsin Michael F. Cuccia entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…

Rex Securities Law
February 17, 2015
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Sonos Capital Advisors Fined by South Carolina Securities Regulator

Sonos Capital Advisors Fined by South Carolina 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 February 17, 2015 May 5, 2016

February 12, 2015- Myrtle Beach, South Carolina The Securities Division of Office of the Attorney General of South Carolina imposed a $10,000 fine against Sonos Capital Advisors, LLC, of Myrtle…

Rex Securities Law
February 17, 2015
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WR&A Financial Services Sanctioned by South Carolina Securities Regulator

WR&A Financial Services Sanctioned by South Carolina 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 February 17, 2015 May 5, 2016

February 12, 2015- South Carolina South Carolina Securities Commissioner Alan Wilson revoked the registration of WR&A Financial Services, Inc. of Charleston, South Carolina, and assessed a $10,000 fine for failing…

Rex Securities Law
February 16, 2015
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Florida Financial Planner Michael Hardman Convicted of Bilking Investors

Florida Financial Planner Michael Hardman Convicted of Bilking Investors 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 February 16, 2015 May 5, 2016

February 13, 2015-West Palm Beach, Florida The InsuranceNewsNet.com reports that former Lake Worth, FL, financial planner Michael Hardman was convicted of first and second degree grand theft for bilking investors…

Rex Securities Law
February 15, 2015
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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues

Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 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 February 15, 2015 May 5, 2016

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

Rex Securities Law
February 15, 2015
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Thomas Lucas Found Guilty in North Texas Disney Park Trial

Thomas Lucas Found Guilty in North Texas Disney Park Trial 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 February 15, 2015 February 11, 2016

February 13, 2015- Sherman, Texas The Dallas Morning News reports that a jury took less than an hour to return a verdict of guilty on all counts in the fraud…

Rex Securities Law
February 15, 2015
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Mark Malik Indicted In New York- Charged with Securities Fraud

Mark Malik Indicted In New York- Charged with Securities 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 February 15, 2015 May 5, 2016

February 15, 2015- Long Island, New York Mark Malik (aka Moazzam Ifzal Malik) age 33, of Lahore Pakistan, was indicted and charged with stealing over $250,000 from five investors in…

Rex Securities Law
February 13, 2015
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SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club

SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club 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 February 13, 2015 March 18, 2016

UPDATE January 2016–Bliss to serve a year and a day in federal prison for trying to corruptly influence and obstruct the administration of justice in the SEC case. See Department…