fbpx

State Trust Investments

Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute

Paul A. Falcon-Aegis Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

July 2016-Boca Raton, Florida The FINRA records of Paul A. Falcon ,  a  stock broker currently employed  by Aegis Capital Corp. , disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

read more

FINRA Assesses Some Big $$ Fines to Broker Dealers

FINRA Assesses Some Big $$ Fines to Broker Dealers 150 150 Rex Securities Law

By Robert H. Rex, Esq. In April 2014, the Investment News published the following “8 big-money FINRA Fines”:   Berthel Fisher & Co. Financial Services fined $775,000 to resolve claims…

read more