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Fidelity Brokerage Services

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft

Fidelity Ordered to Pay $500,000 Fine For Failing to Failing to Identify “Red Flags” Associated with Broker Theft 150 150 Rex Securities Law

December 18, 2015- Fidelity Brokerage Services , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between August 2006 and…

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Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Rex Securities Law

March 30, 2015, Grapevine, Texas  Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of…

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Losses on Oppenheimer Bond Fund Containing Puerto Rico Debt?

Losses on Oppenheimer Bond Fund Containing Puerto Rico Debt? 150 150 Rex Securities Law

If you own an Oppenheimer Municipal Bond Fund that is down 10% or more, chances are that bond fund contains Puerto Rican municipal debt. Puerto Rico’s economy has been suffering…

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FINRA Announces February 2013 Disciplinary Actions

FINRA Announces February 2013 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces February 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…

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