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MidAmerica Financial Services

Edward Rizzotto – Foresters Equity Services Broker- Discloses Customer Dispute -Largo, FL

Edward Rizzotto – Foresters Equity Services Broker- Discloses Customer Dispute -Largo, FL 150 150 Rex Securities Law

May 2017- Largo, FL According to publicly available records Edward  G. Rizzotto (CRD#3213517) ,  a  stockbroker who  is registered with Foresters Equity Services, Inc.  discloses a settled customer dispute. The Financial Industry Regulatory Authority…

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MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri 150 150 Rex Securities Law

  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…

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FINRA Sanctions Broker for Failure to Conduct Due Diligence/ Suitablity Review When Selling Private Placement

FINRA Sanctions Broker for Failure to Conduct Due Diligence/ Suitablity Review When Selling Private Placement 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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