fbpx

Genworth Financial

Mark C. O’Meara – McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX

Mark C. O’Meara – McNally Financial Services Broker-Discloses Customer Disputes-Georgetown, TX 150 150 Rex Securities Law

June 2017 – Georgetown, TX According to publicly available records Michael C. O’Meara  (CRD#2652113) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp.  discloses three prior final customer disputes The Financial…

read more

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL

Former NFP Securities Broker Sanctioned by Regulators-St. Petersburg, FL 150 150 Rex Securities Law

January 21, 2016- St. Petersburg, FL Michael William Hajek, III entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

read more

Cetera To Buy Walnut Street/Tower Square Securities

Cetera To Buy Walnut Street/Tower Square Securities 150 150 Rex Securities Law
Cetera Financial Group announced April 5, 2013, that they are purchasing  two independent broker dealers, Tower Square Securities and Walnut Street Securities, from MetLife Inc. Cetera Financial Group currently includes: Cetera Advisors Network (formerly Financial Network Investment Corp.) Cetera Financial Institutions (formerly PrimeVest Financial Services) Cetera Financial Specialists (formerly Genworth Financial) The acquisition of Walnut Street and Tower Square will bring another 800 financial advisors to Cetera , for a total of over 7000, and is a continuation of Cetera’s expansion efforts. Cetera Financial Group will have over $130 billion in client assets following the merger of Walnut Street and Tower Square into Cetera Advisors Network. read more

FINRA Issues September 2012 Disciplinary Actions

FINRA Issues September 2012 Disciplinary Actions 150 150 Rex Securities Law

FINRA Issues September 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month.…

read more