unit investment trust Archives - Rex Securities Law-BLOG

Rex Securities Law
November 16, 2021
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Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX

Kurt Gunter Discloses Sanctions by Texas Securities Regulator & FINRA -Austin,TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2021 November 16, 2021

Kurt Gunter Investigation November 2021-Bee Cave, Texas Gunter Sanctioned by FINRA According to his FINRA record Kurt Jason Gunter a financial advisor who was last employed as a registered broker…

Rex Securities Law
April 24, 2017
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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons

Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 24, 2017 April 24, 2017

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

Rex Securities Law
November 29, 2016
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Investors Capital Corp.-How to Recover Damages For Investment Losses

Investors Capital Corp.-How to Recover Damages For Investment Losses https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 29, 2016 November 29, 2016

November 2016- Lynnfield, MA Investors Capital Corp. will be closing down and transferring some of its brokers and current clients to another firm within the Cetera network of broker dealers, according…

Rex Securities Law
October 9, 2016
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Investors Capital Corporation Fined $250,000 by Securities Regulators

Investors Capital Corporation Fined $250,000 by Securities Regulators https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 9, 2016 April 26, 2017

October 2014 The FINRA records of Investors Capital Corp., a broker dealer headquartered in Lynnfield, MA, that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

Rex Securities Law
February 15, 2016
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Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas

Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 February 15, 2016

February 3, 2016 – Topeka, Kansas Bankers & Investors Co. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…