Failure to Cooperate with Regulatory Investigation Archives - Page 9 of 10

Rex Securities Law
March 30, 2016
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Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL

Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 May 4, 2016

Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…

Rex Securities Law
March 28, 2016
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Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2016 April 21, 2016

FINRA records report that Christopher F. Veale , of New York, who is not currently registered, is currently named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

Rex Securities Law
March 23, 2016
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Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2016 April 14, 2016

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

Rex Securities Law
March 15, 2016
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Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 November 10, 2017

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

Rex Securities Law
February 15, 2016
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Lawrence Miller-Former LPL FInancial Broker-Barred from Industry

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 June 15, 2016

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

Rex Securities Law
January 12, 2016
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Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA

Former LPL Financial/H.D. Vest Broker Sanctioned by Securities Regulator-Hollywood, FLA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 12, 2016 January 12, 2016

November 3 , 2015 Daniel Kasbar entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide documents and information…

Rex Securities Law
January 6, 2016
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Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account

Morgan Stanley/Broker Ordered to Pay 92 year old Widow $1 Million for Churning Account https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 6, 2016 January 6, 2016

December 8, 2015-Boston, MA A FINRA arbitration panel ordered Morgan Stanley and broker Justin Amaral to pay a 92 year old widow over $1 million for churning her account. The victim…

Rex Securities Law
December 7, 2015
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LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken

LPL Financial Stock Broker Barred from Industry Following Allegations that Funds Were Improperly Taken https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 7, 2015 December 7, 2015

October 7, 2015-Fishers, IN Barbara D. Fife , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to…

Rex Securities Law
November 19, 2015
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Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators

Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 May 4, 2016

UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…