fbpx

Finra Investigation of Stockbroker

Vanguard Marketing Corporation Fined $350,000 by Securities Regulator

Vanguard Marketing Corporation Fined $350,000 by Securities Regulator 150 150 Rex Securities Law

March 6, 2015 Vanguard Marketing Corporation    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between January 2011 through December 2013,…

read more

Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator

Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 19, 2015- San Antonio, Texas  Joseph DiRago, Jr.    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between June 2011…

read more

Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator

Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator 150 150 Rex Securities Law

March 19, 2015  – Connecticut Andre Paul Young   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from June 2010 to June…

read more

David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Rex Securities Law

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

read more

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ

Harvey Meldrum-Former BCG Securities Broker-Sanctioned by FINRA-Manasquan, NJ 150 150 Rex Securities Law

March 3, 2015  – Manasquan, NJ Harvey Herman Meldrum   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with BCG Securities,…

read more

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

read more

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

read more

Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT

Donald Saccomano- Former Source Capital Group Broker-Suspended by Regulator-Westport, CT 150 150 Rex Securities Law

Westport, CT UPDATE APRIL 2017–Donald Saccomano was suspended by FINRA in 4/2017 for failing to respond to a FINRA request for information. FINRA records indicate that he ceased working for Source…

read more

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…

read more