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Finra Investigation of Stockbroker

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft
Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Rex Securities Law

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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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 150 150 Rex Securities Law

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…

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Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account
Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Rex Securities Law

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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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 150 150 Rex Securities Law

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…

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Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN
Spartan Capital Securities Stock Broker Barred From Industry-Danbury, CN 150 150 Rex Securities Law

October 13, 2015-Danbury, CN Jeffrey David Snyder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he repeatedly refused…

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Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL
Dalton Strategic Investment Services Stock Broker Sanctioned Over Annuity Sales- Coral Gables, FL 150 150 Rex Securities Law

October 14, 2015-Coral Gables, FL Andrew M. Abern , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

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William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Former Raymond James StockBroker Barred From Industry for Taking Customer Funds
Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Rex Securities Law

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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UBS Stock Broker Sanctioned for Altering Customer Documents
UBS Stock Broker Sanctioned for Altering Customer Documents 150 150 Rex Securities Law

October 15, 2015 Qui Hong Lam , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she falsified documents related to…

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