fbpx

Finra Investigation of Stockbroker

Craig Scott Capital & Execs Accused of Churning Customer Accounts
Craig Scott Capital & Execs Accused of Churning Customer Accounts 150 150 Rex Securities Law

UPDATE-August 2016-Brent Porges not currently registered. See this for details. January 28, 2016 Craig Scott Capital (CSC) , its co-founder and President Craig Scott Taddonio and Brent Morgan Porges, a…

read more

Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia
Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia 150 150 Rex Securities Law

January 13, 2016- Griffin, Georgia Stanley Ball entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Allstate…

read more

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL
Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL 150 150 Rex Securities Law

January 21, 2016- St. Petersburg, FL Michael William Hajek, III entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

read more

Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint
Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Rex Securities Law

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

read more

Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX
Rex Securities Law Investigates VSR Financial Services Broker Lisa Allen- Austin, TX 150 150 Rex Securities Law

Austin, Texas UPDATE DECEMBER 2017-Lisa Allen is currently registered with Calton & Associates. See this for more information regarding VSR Financial Services.  Rex Securities Law is investigating VSR Financial Services broker Lisa…

read more

Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA
Rex Securities Law Investigates Former VSR Financial Services Broker Gregory Ellis-Baton Rouge, LA 150 150 Rex Securities Law

Baton Rouge, LA Rex Securities Law is investigating former VSR Financial Services broker Gregory M. Ellis  in connection with the sale of various alternative investments including real estate securities, oil and gas securities,…

read more

Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN
Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN 150 150 Rex Securities Law

Saint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…

read more

Austin, Texas-Former WFG Broker Named In Regulatory Complaint
Austin, Texas-Former WFG Broker Named In Regulatory Complaint 150 150 Rex Securities Law

January 22, 2016- Austin, Texas Harvey B. Vaughn, Jr. was named in a disciplinary proceeding ( #2015045409001) filed ty the Financial Industry Regulatory Authority (FINRA) alleging that he willfully failed…

read more

NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Rex Securities Law

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com