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Selling Away

Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator
Malcolm Babin-Former PFS Investments Broker from Baton Rouge Sanctioned by Securities Regulator 150 150 Rex Securities Law

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

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Former Wunderlich Securities Broker Sanctioned By Regulators-Plano
Former Wunderlich Securities Broker Sanctioned By Regulators-Plano 150 150 Rex Securities Law

July 10, 2015-Dallas, TX Joseph C. 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 Rule…

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Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Rex Securities Law

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator
Royce Simpson-Seabrook Texas Stockbroker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 11, 2015, Seabrook, Texas  Royce O. Simpson,  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 written…

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Former PrimeSolutions Securities Broker Named in Suit By SEC
Former PrimeSolutions Securities Broker Named in Suit By SEC 150 150 Rex Securities Law

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…

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Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator
Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

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…

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Alabama Broker Terry Bagwell Sanctioned by Securities Regulator
Alabama Broker Terry Bagwell Sanctioned by Securities Regulator 150 150 Rex Securities Law

UPDATE- April 2016: Bagwell Settles Millions in Customer Claims/ Named in Alabama Securities Commission investigation. See this for more.  February 26, 2015  – Birmingham, Alabama Terry Joe Bagwell   entered into a Letter of…

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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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