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Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments
Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments 150 150 Rex Securities Law

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…

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Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas
Bankers & Investors Co. Sanctioned on UIT(Unit Investment Trust) Sales-Topeka, Kansas 150 150 Rex Securities Law

February 3, 2016 – Topeka, Kansas Bankers & Investors Co.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2010-March…

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Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint
Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Rex Securities Law

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

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Buckman Buckman & Reid Sanctioned by Regulators
Buckman Buckman & Reid Sanctioned by Regulators 150 150 Rex Securities Law

November 12 , 2015 Buckman, Buckman & Reid  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while accepting and holding six customer…

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Investment Planners Inc. Sanctioned Over Variable Annuity Charges
Investment Planners Inc. Sanctioned Over Variable Annuity Charges 150 150 Rex Securities Law

October 1,  2015- Decatur, Illinois Investment Planners, Inc.  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between April 2013…

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Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts
Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Rex Securities Law

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments
FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments 150 150 Rex Securities Law

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…

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