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Failure to Supervise

Ascendiant Capital Markets Sanctioned by Securities Regulator

Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Rex Securities Law

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

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Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Rex Securities Law

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

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Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Rex Securities Law

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme

Former Aegis Capital Broker Malcolm Segal Sued by SEC on Ponzi Scheme 150 150 Rex Securities Law

July 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…

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FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Rex Securities Law

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Rex Securities Law

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

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South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Rex Securities Law

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

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Allstate Financial Services Broker Barred For Falsifying Insurance Applications

Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Rex Securities Law

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

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