william galvin Archives - Rex Securities Law-BLOG

Rex Securities Law
May 8, 2023
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Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 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 May 8, 2023 May 8, 2023

Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

Rex Securities Law
July 24, 2018
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G.A. Repple Broker Accused of Lying to Clients on Website

G.A. Repple Broker Accused of Lying to Clients on Website 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 24, 2018 July 24, 2018

July 2018 Securities regulators from Massachusetts have accused Alan P. Siegel, a broker with G.A. Repple of lying on his website by claiming that he had never received a customer…

Rex Securities Law
March 23, 2015
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Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin

Merrill Fined $2.5 Million by Massachusetts Securities Regulator William Galvin 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 March 23, 2015 April 28, 2016

March 23, 2015 The Wall Street Journal reports that Merrill Lynch was ordered to pay $2.5 million to to Massachusetts Securities Regulators to resolve claims that it gave internal presentations…