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Forgery

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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Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds
Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 150 150 Rex Securities Law

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn ,  was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while he was…

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Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery
Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Rex Securities Law

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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Florida Stockbroker Lost While Fishing at Sea Staged Disappearance
Florida Stockbroker Lost While Fishing at Sea Staged Disappearance 150 150 Rex Securities Law

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…

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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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Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA
Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA 150 150 Rex Securities Law

February 23, 2015 Gregory James Bolduc  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while registered with UnionBanc Investment Services,…

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Racine Broker Michael Cuccia Sanctioned by Securities Regulator
Racine Broker Michael Cuccia Sanctioned by Securities Regulator 150 150 Rex Securities Law

February 13, 2015-Racine, Wisconsin Michael F. Cuccia  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…

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