fbpx

Sun Trust Investment Services

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX 150 150 Rex Securities Law

April  2019 – Kingwood, TX According to publicly available records  Phillip Andrew Johnson (CRD# 501352) ,  a  former stockbroker who was last  employed by D.H. Hills Securities,  disclose 4 regulatory events, 2…

read more

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months

Suntrust Investment Services Broker Pleads Guilty to Wire Fraud, Sentenced to 41 Months 150 150 Rex Securities Law

Staunton, Virginia Kirsten Flynn Hawkins, 45, pled guilty to wire fraud in January 2015, and in May 2015, was sentenced to 41 months in prison and ordered to pay restitution…

read more

Kirsten Hawkins of Staunton, VA, Pleads Guilty to Wire Fraud

Kirsten Hawkins of Staunton, VA, Pleads Guilty to Wire Fraud 150 150 Rex Securities Law

January 16, 2015-Lynchberg, Virginia The US Attorney’s Office for the Western District of Virginia announced that Kirsten Flynn Hawkins, 45, of Staunton, VA, pled guilty to three counts of wire…

read more

Former Suntrust Investment Services Broker Kenneth Mauchin Barred by FINRA-Misappropraition of Customer Funds

Former Suntrust Investment Services Broker Kenneth Mauchin Barred by FINRA-Misappropraition of 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…

read more

FINRA Sues Christopher S. Vaughn-Theft From Elderly Client

FINRA Sues Christopher S. Vaughn-Theft From Elderly Client 150 150 Rex Securities Law

Leesburg, Florida–The Villages FLA 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…

read more

Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA

Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA 150 150 Rex Securities Law

Sanford, Florida In FINRA Case #2011028452701 ,  Kenneth Andrew Mauchin, a former Suntrust Investment Services Broker from Sanford, Florida, was barred from association with any FINRA member in any capacity.…

read more

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…

read more

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…

read more

FINRA Announces October 2012 Disciplinary Actions

FINRA Announces October 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…

read more