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Finra Investigation of Stockbroker

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Rex Securities Law

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV
Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV 150 150 Rex Securities Law

August19, 2015, Jack Allen Scherbert , 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 for on…

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Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale
Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Rex Securities Law

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator
Christopher Veale–Former Legend Securities Broker Sanctioned by Regulator 150 150 Rex Securities Law

UPDATE March 28, 2016- Christopher Veale‘s FINRA record reports 11 prior customer complaints that have been resolved and one pending dispute. See this for more.  August18, 2015, Christopher Frederic Veale ,…

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Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client
Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Rex Securities Law

August18, 2015, Glenn Allen Moffitt,  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 for…

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Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy
Farmers Financial Solutions Broker Sanctioned for Back Dating Insurance Policy 150 150 Rex Securities Law

August 7, 2015, Kevin C. Trost,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he backdated an insurance…

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Signator Investors, Inc. Fined $450,000 for Supervisory Failures
Signator Investors, Inc. Fined $450,000 for Supervisory Failures 150 150 Rex Securities Law

August 13, 2015 Signator Investors, Inc. and Gregory J. Mitchell, Agency Compliance Specialist for Signator’s Vienna, Virginia office,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme
FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Rex Securities Law

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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