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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,…

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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…

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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…

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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…

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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,…

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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…

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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…

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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…

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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…

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