fbpx

Merrill Lynch

FINRA Announces December 2012 Disciplinary Actions

FINRA Announces December 2012 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces December 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. Here…

read more

FINRA Announces November 2012 Disciplinary Actions

FINRA Announces November 2012 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 significant Florida related actions for November…

read more

Losses on Lexington Capital Funding III CDO?

Losses on Lexington Capital Funding III CDO? 150 150 Rex Securities Law

Have you or your loved ones suffered losses as a result of purchasing Lexington Capital Funding III Collateralized Debt Obligation  (CDO) ? This complex product was sold by Merrill Lynch to institutions…

read more