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Newport Coast Securities

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 150 150 Rex Securities Law

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III  , a former stock broker employed by  Newport Coast Securities  , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

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Janet Ross, CCO of Accelerated Capital Group, Named in 3 Customer Arbitrations

Janet Ross, CCO of Accelerated Capital Group, Named in 3 Customer Arbitrations 150 150 Rex Securities Law

July 2016- The FINRA records of Janet Ross  , Chief Compliance Officer of Accelerated Capital Group  , disclose 3  pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.…

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Tony Barouti-Former Newport Coast Broker-Discloses Customer Dispute

Tony Barouti-Former Newport Coast Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Los Angeles, CA According to FINRA records,  Tony Barouti ,  a stockbroker  who currently works  for First Heartland Capital , discloses  a currently pending customer dispute and a prior finalized customer dispute. The Financial Industry…

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Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts 150 150 Rex Securities Law

August 14,  2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to  the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

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Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Rex Securities Law

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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FINRA Announces January 2013 Disciplinary Actions

FINRA Announces January 2013 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces January 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…

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