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Stockbroker Richard A. McGuire Sanctioned by Regulators

Stockbroker Richard A. McGuire Sanctioned by Regulators

Stockbroker Richard A. McGuire Sanctioned by Regulators 150 150 Rex Securities Law

November 3, 2014- The Financial Industry Regulatory Authority (FINRA) barred Richard A. McGuire from associating with any FINRA member firm in any capacity and ordered him to pay restitution of $95,000, plus interest for forging a former customer’s signature to loan agreements. Disciplinary proceeding No. 20110273503. 

According to FINRA records, McGuire was registered with the following firms:

  • Financial West Group                      7/28/2014-11/3/2014
  • Cabot Lodge Securities                   3/2013-8/2014
  • Investacorp, Inc.                                  6/2011-12/2012
  • Americas Investment Corp.         12/2009-4/2011

If you suffered losses in an account managed by McGuire, contact us to learn how you may be able to recover damages.

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.

Rex Securities Law

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