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Cape Securities

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Rex Securities Law

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

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Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Rex Securities Law

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators 150 150 Rex Securities Law

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

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Former Cape Securities Broker Paul Elvidge of Port St. Lucie Sentenced for Wire Fraud

Former Cape Securities Broker Paul Elvidge of Port St. Lucie Sentenced for Wire Fraud 150 150 Rex Securities Law

Port St. Lucie, FL The Miami Division of the Federal Bureau of Investigation (FBI) announced that Paul Elvidge, 54, of Port Saint Lucie, Florida, was sentenced by US DIstrict Judge…

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FINRA Announces March 2013 Stockbroker Disciplinary Actions

FINRA Announces March 2013 Stockbroker Disciplinary Actions 150 150 Rex Securities Law

  The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are some of the most significant  actions…

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