fbpx
Monthly Archives :

July 2015

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama
Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Rex Securities Law

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer…

read more

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Rex Securities Law

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

read more

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Rex Securities Law

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

read more

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Rex Securities Law

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

read more

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Rex Securities Law

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

read more

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme
Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Rex Securities Law

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

read more

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Rex Securities Law

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

read more

Understanding Annuities–Help for Investors from Texas Department of Insurance
Understanding Annuities–Help for Investors from Texas Department of Insurance 150 150 Rex Securities Law

The Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…

read more

Tampa Woman Pleads Guilty to Embezzlement of Church Funds
Tampa Woman Pleads Guilty to Embezzlement of Church Funds 150 150 Rex Securities Law

July 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com