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Fifth Third Securities

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 150 150 Rex Securities Law

May 2018 According to a FINRA News Release,  Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

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Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 150 150 Rex Securities Law

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn  , a stock broker employed by L.M. Kohn & Company, disclose  a pending customer arbitration, a prior final financial disclosure and a prior termination. The…

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Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator

Matthew Roger Quinn-Fifth Third Securities Broker Barred from Industry by Regulator 150 150 Rex Securities Law

March 20, 2015-Cincinnati, OH Matthew Roger Quinn   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed to provide on-the-record…

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Fifth Third Securities Ordered to Pay Elderly Client $85,000 in FINRA Arbitration

Fifth Third Securities Ordered to Pay Elderly Client $85,000 in FINRA Arbitration 150 150 Rex Securities Law

January 16, 2015- Columbus, Ohio A FINRA arbitration panel in Columbus , Ohio , ordered Fifth Third Securities and broker Vasumati K. Amin  to pay a customer over $85,000 in compensatory damages, plus interest…

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Fifth Third Securities Ordered to Pay Elderly Customer For Losses on Unsuitable Investments

Fifth Third Securities Ordered to Pay Elderly Customer For Losses on Unsuitable Investments 150 150 Rex Securities Law

January 16, 2015- Columbus, Ohio A FINRA arbitration panel has ordered Fifth Third Securities and broker Vasumati Amin to pay an elderly client $85,000, plus interest and costs after a…

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PNC Investments Broker Barry Millinovich Sanctioned by Securities Regulators

PNC Investments Broker Barry Millinovich Sanctioned by Securities Regulators 150 150 Rex Securities Law

Loveland, Ohio Barry John Millinovich was barred by FINRA from the securities industry to resolve allegations that he made unauthorized withdrawals of $10,100 from the savings account of a customer…

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Fifth Third Securities Broker Mark Talley Barred by FINRA

Fifth Third Securities Broker Mark Talley Barred by FINRA 150 150 Rex Securities Law

   Mark Raymond Talley (CRD #4969783, Registered Representative, Ft. Mitchell, Kentucky) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting…

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Former Suntrust Investment Services Broker Kenneth Mauchin Barred by FINRA-Misappropraition of Customer Funds

Former Suntrust Investment Services Broker Kenneth Mauchin Barred by FINRA-Misappropraition of Customer Funds 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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Ex-Fifth Third Securities Broker Janet Frakes Barred by FINRA for Theft from Elderly Clients

Ex-Fifth Third Securities Broker Janet Frakes Barred by FINRA for Theft from Elderly Clients 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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