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Northwestern Mutual Investment Services

NW Mutual Broker John Hanson Sanctioned by FINRA

NW Mutual Broker John Hanson Sanctioned by FINRA 150 150 Rex Securities Law

John C. Hanson  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to respond to FINRA requests for information, documents…

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Independent Broker Dealer Rankings Announced by Investment News

Independent Broker Dealer Rankings Announced by Investment News 150 150 Robert H. Rex

The Investment News recently announced the rankings of independent broker-dealers for 2013 BrokerDealer                   Gross Revenue  1            LPL Financial LLC      …

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Former Wells Fargo Advisors Broker Melanie Fordham Barred by FINRA For Theft

Former Wells Fargo Advisors Broker Melanie Fordham Barred by FINRA For Theft 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…

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Clinton Fraley Barred by FINRA for Failing to Cooperate With Investigation Into Misappropriated Customer Funds

Clinton Fraley Barred by FINRA for Failing to Cooperate With Investigation Into Misappropriated Customer Funds 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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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…

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