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Wachovia

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Rex Securities Law

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

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“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Rex Securities Law

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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Arhonda Guinn-Former Stifely,Nicolaus Broker-Discloses Discharge & Regulatory Bar

Arhonda Guinn-Former Stifely,Nicolaus Broker-Discloses Discharge & Regulatory Bar 150 150 Rex Securities Law

Vero Beach, Florida According to FINRA records,  Arhonda Guinn,   a stockbroker who formerly worked for Stifel, Nicolaus & Co.  discloses  a regulatory event and a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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SII Investments Broker David Thomas Sanctioned by Securities Regulators

SII Investments Broker David Thomas Sanctioned by Securities Regulators 150 150 Robert H. Rex

  David Patrick Thomas, a resident of Washington state was recently sanctioned by securities regulators in Washington in connection with the sale of LLC membership interests issued by Chadbourne Partners,…

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FINRA Announces April 2013 Disciplinary Actions

FINRA Announces April 2013 Disciplinary Actions 150 150 Rex Securities Law
FINRA Announces April 2013 Disciplinary Actions By Robert H. Rex, Esq. 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 some of the most significant  actions for April 2013. read more

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