fbpx

UBS Financial Services problem

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

read more

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 150 150 Rex Securities Law

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III  , a former stock broker employed by  Newport Coast Securities  , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

read more

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

Birmingham, Michigan According to FINRA records,  Bassam A. Salem,  a stockbroker  who currently works for Wunderlich Securities ,  discloses  a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

read more

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Rex Securities Law

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

read more

FINRA Fines Firms for Violations in 2015

FINRA Fines Firms for Violations in 2015 150 150 Rex Securities Law

January 8, 2015 The Investment News published a summary of the largest penalties handed out in 2015 by the Financial Industry Regulatory Authority (FINRA), which included: Puerto Rican Bonds-A fine…

read more

UBS Stock Broker Sanctioned for Altering Customer Documents

UBS Stock Broker Sanctioned for Altering Customer Documents 150 150 Rex Securities Law

October 15, 2015 Qui Hong Lam , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she falsified documents related to…

read more

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement

Miami-Barclays Capital Broker Sanctioned for Creating False Brokerage Statement 150 150 Rex Securities Law

August 3, 2015 Louis Anthony Tinoco, Jr., of Miami, Florida ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

read more

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client

John Waszolek-Former Raymond James Broker-Barred From Industry For Unethical Behavior With Elderly Client 150 150 Rex Securities Law

July 13, 2015-Scottsdale, AZ John Anthony Waszolek  entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that accepted appointment as trustee and…

read more

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s

Regulators Sue Broker for Trying to Inherit $1.8M from Elderly Client with Alzheimer’s 150 150 Rex Securities Law

June 11, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No. 2012031181001 against Scottsdale, AZ, broker John Anthony Waszolek alleging that he attempted to have his 81 year old customer…

read more

This site is protected by wp-copyrightpro.com