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Excessive Markups/Markdowns

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Rex Securities Law

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

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Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX 150 150 Rex Securities Law

June 2022- Fort Worth, TX According to publicly available records,  Perry S. Abbonizio, a former registered investment  advisor and stockbroker  , was recently named in a complaint filed by the…

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Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Rex Securities Law

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 150 150 Rex Securities Law

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

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