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Inc.

John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO

John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO 150 150 Rex Securities Law

Greenwood Village, Colorado According to FINRA records, John J. Avey,  a broker who has been  registered  with First Financial Equity , since  1/2016  , discloses a termination and 2 prior customer disputes that…

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Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 150 150 Rex Securities Law

October 27, 2015 Stephens, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…

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