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Excessive Markups/Markdowns

National Planning Corp. Fined by Regulators for Excessive Sales Charges

National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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J.P. Turner Sanctioned For Excessive Sales Charges

J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges

Edward Jones Brokerage Firm Fined $20 by SEC on Municipal Bond Overcharges 150 150 Rex Securities Law

August 13, 2015-Washington DC The Securities and Exchange Commission (SEC) announced that Edward Jones, a brokerage firm headquartered in St. Louis, and Stina R. Wishman, the former head of its…

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Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 150 150 Rex Securities Law

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues

Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 150 150 Rex Securities Law

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

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