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Richard Ewalt (BB&T Investment Services) FIned/Suspended by FINRA

Richard Ewalt (BB&T Investment Services) FIned/Suspended by FINRA 150 150 Rex Securities Law

June 2014-FINRA suspended Richard L Ewalt of Mt. Airy, Maryland, for a year and assessed a fine of $10,000 to resolve allegations that he affixed fake signatures or initials on customers on variable annuity forms, State of Maryland disclosure forms, firm client profile forms and IRA transfer forms in violation of firm policy.  The suspension if from June 16, 2014-June 15.2015.

According to FINRA records Ewalt was recently registered as follows:

  • BB&T Investment Services     6/2011-6/2013
  • Securities America          6/2009-6/2011
  • Ameriprise Financial     5/2009-6/2011

Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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