fbpx

Brokerage Firms

Dallas Based Share Financial Services Sanctioned by Securities Regulators
Dallas Based Share Financial Services Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 16, 2015 Share Financial Services and its President and Chief Compliance Officer Charles Major entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA)…

read more

David Harari-San Antonio Stock Broker Sanctioned by Regulator
David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Rex Securities Law

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

read more

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens
Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Rex Securities Law

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

read more

H.D. Vest Sanctioned by SEC For Failing to Supervise Broker
H.D. Vest Sanctioned by SEC For Failing to Supervise Broker 150 150 Rex Securities Law

March 4, 2015 In Securities and Exchange Commission (SEC) Administrative Proceeding File No. 3-16419, the SEC found that H.D. Vest Investment Securities, Inc.  failed to supervise Michigan broker Lewis J.…

read more

Girard Securities Acquisition Closed by RCS Capital Group
Girard Securities Acquisition Closed by RCS Capital Group 150 150 Rex Securities Law

March 12, 2015 RCS Capital Corporation announced that it closed the acquisition of Girard Securities. Girard Securities has over  $10  billion of assets and 250 financial advisors. They become a part of the  Cetera…

read more

RCS Capital Closes Deal on Acquisition of VSR Financial
RCS Capital Closes Deal on Acquisition of VSR Financial 150 150 Rex Securities Law

March 5, 2015 RCS Capital Corporation announced that it closed the acquisition of VSR Group, Inc. and VSR Financial Services, Inc., which had been announced months ago. VSR Financial is based…

read more

IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator
IBN FInancial Services Broker in Watertown, NY, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 3, 2015  – Watertown, NY Brian Scott Exford   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear…

read more

Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator
Peoples Securities Broker in Willimantic, CT, Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 2, 2015  – Willimantic, CT Tricia D. Willis   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she converted customer funds…

read more

Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action
Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action 150 150 Rex Securities Law

February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com