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Discretionary Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading 150 150 Rex Securities Law

February 13, 2015 OneAmerica Securities, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

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Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law

Wade J. Lawrence, Former Fort Worth Broker Investigated by Rex Securities Law 150 150 Rex Securities Law

February 13, 2015 Rex Securities Law is investigating Wade James Lawrence who was formerly a stock broker with Southwest Securities in Dallas, Texas, 8/2011-12/2013. Prior to that FINRA records indicate…

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Investigation of Broker Jennifer Trowbridge-Essex Securities, Boynton Beach, FL

Investigation of Broker Jennifer Trowbridge-Essex Securities, Boynton Beach, FL 150 150 Rex Securities Law

January 12, 2015- Boynton Beach, Florida Jennifer J. Trowbridge  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she made unsuitable…

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Wedbush Securities Ordered to Pay Customer $350K in FINRA Arbitration

Wedbush Securities Ordered to Pay Customer $350K in FINRA Arbitration 150 150 Rex Securities Law

January 22, 2015- Los Angeles, CA A FINRA arbitration panel in Los Angeles, CA, ordered Wedbush Securities to pay a customer $251,000 in compensatory damages and attorney fees of over…

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Source Capital Group Named in FINRA Arbitration For Losses in Account Handled by Donald Saccomano

Source Capital Group Named in FINRA Arbitration For Losses in Account Handled by Donald Saccomano 150 150 Rex Securities Law

January 7, 2014-Flushing, New York Rex Securities Law filed an arbitration with the Financial Industry Regulatory Authority (FINRA) on behalf of a married couple in their mid to late 80’s…

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Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator

Feltl & Co. Broker Timothy O’Brien Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31,2014 Timothy David O’Brien   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he traded the accounts of several his…

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PHX Financial Accused of Churning in Montana Securities Regulator Action

PHX Financial Accused of Churning in Montana Securities Regulator Action 150 150 Rex Securities Law

On October 28, 2014 the Montana Commissioner of Securities filed a Notice of Proposed Agency Action and Opportunity against PHX Financial, Inc. , aka Blackwall Capital, a Montana licensed broker-dealer…

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James Purtle, Feltl and Company Broker, Sanctioned by FINRA

James Purtle, Feltl and Company Broker, Sanctioned by FINRA 150 150 Rex Securities Law

October 10, 2014-Ramsey, Minnesota James Harrison Purtle entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from February 2010 through December…

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