Alluvion Securities Archives - Rex Securities Law-BLOG

Rex Securities Law
April 23, 2018
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John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN

John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN 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 April 23, 2018 April 23, 2018

April 2018-Memphis, TN John Sherman Jumper, 52, of Memphis, Tennessee was indicted by a federal grand jury for embezzling $5.7 million from a pension plan for the employees of Snowshoe…

Rex Securities Law
June 22, 2015
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Alluvion Securities Hit With Net Capital Violation Suit by Regulators

Alluvion Securities Hit With Net Capital Violation Suit by 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 June 22, 2015 April 14, 2016

June 19, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…