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Discretionary Trading

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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First Independent Financial Group Broker James Ham Sanctioned by FINRA

First Independent Financial Group Broker James Ham Sanctioned by FINRA 150 150 Rex Securities Law

October 1, 2014-Dallas, Texas James M. Ham entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between October 23, 2013 and…

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