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Finra Investigation of Stockbroker

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Rex Securities Law

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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Garden State Securities Discloses 21 Regulatory Events

Garden State Securities Discloses 21 Regulatory Events 150 150 Rex Securities Law

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Rex Securities Law

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Rex Securities Law

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

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Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Rex Securities Law

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Rex Securities Law

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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Phil Williamson Charged in South Florida Securities Fraud

Phil Williamson Charged in South Florida Securities Fraud 150 150 Rex Securities Law

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 150 150 Rex Securities Law

June 1, 2015-San Miguel de Allende, Mexico  Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

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