Selling Away Archives - Page 10 of 11 - Rex Securities Law-BLOG

Rex Securities Law
November 25, 2015
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Garland Wayne Benton, Former Reef Securities Broker- Investigation

Garland Wayne Benton, Former Reef Securities Broker- Investigation https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 25, 2015 April 18, 2016

November 25, 2015- Richardson, Texas Rex Securities Law is investigating Garland Wayne Benton, Jr. who was a stock broker with Reef Securities, Inc. from June 2002 until April 2015 when he was terminated from Reef Securities, Inc. , who permitted…

Rex Securities Law
November 23, 2015
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Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments

Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 23, 2015 June 9, 2017

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

Rex Securities Law
November 19, 2015
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Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL

Former LPL Financial/Essex National Securities Broker Sanctioned by Regulator-Cape Coral, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 April 11, 2016

September 21, 2015- Cape Coral, Florida Edward K. Roos , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April…

Rex Securities Law
November 19, 2015
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Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator

Matthew Schomburg-State Farm Agent-Katy, Texas-Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 April 11, 2016

September 29, 2015- Katy, Texas Matthew T. Schomburg , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 11/2010-8/2013 he…

Rex Securities Law
November 11, 2015
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Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator

Joseph Charles Schroeder-Wunderlich Securities Broker- Sanctioned by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 April 20, 2016

July 10, 2015- Dallas, Texas Joseph Charles Schroeder , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD…

Rex Securities Law
November 11, 2015
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Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 July 17, 2016

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

Rex Securities Law
November 11, 2015
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Kuhns Brothers Securities Broker Sanctioned by FINRA

Kuhns Brothers Securities Broker Sanctioned by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 April 11, 2016

July 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

Rex Securities Law
August 24, 2015
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Barry Hartman-FSC Securities Broker- Sanctioned by Regulator

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 24, 2015 April 21, 2016

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…

Rex Securities Law
August 22, 2015
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Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 22, 2015 July 6, 2017

August18, 2015, Mark Brian Quimby, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…