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Selling Away

Daniel McCourt-Foothills Securities Broker-Update on Investigation
Daniel McCourt-Foothills Securities Broker-Update on Investigation 150 150 Rex Securities Law

April 17, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX
William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE– See this for more. April 7, 2016- Houston, TX FINRA records report that former UBS Financial Services stockbroker William A. Hightower is named in a currently pending arbitration…

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Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators
Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators 150 150 Rex Securities Law

December 18, 2015-Chattanooga, TN A Financial Industry Regulatory Authority (FINRA) hearing panel found that former Benjamin F. Edwards broker Aon D. Miller violated NASD Rule 3040 and FINRA Rule 2010 by…

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Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas
Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas 150 150 Rex Securities Law

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he participated in private securities…

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Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL
Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL 150 150 Rex Securities Law

January 21, 2016- St. Petersburg, FL Michael William Hajek, III entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

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Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN
Former VSR Financial Broker Kevin M. Nevin Discloses Pending Customer Dispute-St. Louis Park, MN 150 150 Rex Securities Law

Saint Louis Park, MN UPDATE FEBRUARY 2017– IN July 2016 a customer of Nevin’s former employer VSR Financial filed FINRA case 16-1993 alleging fraud and unsuitability in connection with an investment…

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Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina
Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina 150 150 Rex Securities Law

1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was  barred from the securities industry October 2015, to resolve…

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James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator
James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…

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William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX
William Hightower-Former UBS/Legacy Asset Broker Barred from Industry-Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE. See this for more. October 7, 2015-Houston, Texas William Andrew Hightower, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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