Finra Investigation of Stockbroker Archives - Page 62 of 63

Rex Securities Law
April 23, 2015
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Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2015 April 28, 2016

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

Rex Securities Law
April 16, 2015
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Former PrimeSolutions Securities Broker Named in Suit By SEC

Former PrimeSolutions Securities Broker Named in Suit By SEC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 16, 2015 February 11, 2016

Richfield, Ohio-April 15, 2015 Jerry A. Cicolani, 51, was charged in a criminal information with selling unregistered securities in KGTA Petroleum, Ltd., causing dozens of investors to lose over $7…

Rex Securities Law
April 14, 2015
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Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 14, 2015 April 28, 2016

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…

Rex Securities Law
April 13, 2015
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Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator

Boca Raton Boiler Room Targeting Elderly Citizens Shut Down By Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 13, 2015 April 28, 2016

April 9, 2015-Boca Raton, FL The Securities and Exchange Commission (SEC) announced the filing of fraud charges against the operators of a microcap/boiler room scheme in South Florida. Three of…

Rex Securities Law
March 25, 2015
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Buckman, Buckman & Reid Sanctioned by Securities Regulator

Buckman, Buckman & Reid Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 25, 2015 April 28, 2016

January 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

Rex Securities Law
March 23, 2015
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Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator

Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2015 April 28, 2016

March 20, 2015-Cincinnati, OH Matthew Roger Quinn entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide on-the-record…

Rex Securities Law
March 22, 2015
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Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator

Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 April 28, 2016

March 20 , 2015-Montgomery, Texas Christopher Alan Taylor entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

Rex Securities Law
March 22, 2015
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Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry

Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 April 28, 2016

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that Nougzust failed to provide…

Rex Securities Law
March 22, 2015
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Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator

Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2015 April 28, 2016

In March 2015, Daniel Gregory Retzke entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that during the course of an investigation…