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Stockbroker Malpractice

Losses on CNL Lifestyle Properties REIT May Be Recoverable

Losses on CNL Lifestyle Properties REIT May Be Recoverable 150 150 Rex Securities Law

March 12, 2015 In recent SEC filings, CNL Lifestyle Properties, Inc. reported an estimated value of $5.20 per share. The value of CNL LIfestyle Properties has dropped nearly 25% since…

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Buckman, Buckman & Reid Sanctioned by Securities Regulator

Buckman, Buckman & Reid Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 26, 2015- Buckman, Buckman & Reid and John Buckman, its chairman and CEO ,  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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H.D. Vest Sanctioned by SEC For Failing to Supervise Broker

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Rex Securities Law

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

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Allan Roth of Tampa Arrested in Penny Stock Scam

Allan Roth of Tampa Arrested in Penny Stock Scam 150 150 Rex Securities Law

February 27, 2015-Tampa, Florida The Florida Office of Financial Regulation (OFR) reports that Allan Roth, 57, was arrested on 34 charges of selling unregistered securities and 34 counts of selling securities…

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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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OneAmerica Securities Investigated for Failing to Supervise Option Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading 150 150 Rex Securities Law

February 13, 2015 OneAmerica Securities, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

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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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SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club

SEC Files Fraud Complaint vs. Roger Bliss and His Investment Club 150 150 Rex Securities Law

UPDATE January 2016–Bliss to serve a year and a day in federal prison for trying to corruptly influence and obstruct the administration of justice in the SEC case.  See Department…

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