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Massachusetts Securities Division

Attention GPB Capital Investors-How to Recover Your Losses

Attention GPB Capital Investors-How to Recover Your Losses 150 150 Rex Securities Law

How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…

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Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA

Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA 150 150 Rex Securities Law

February 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) ,  a  stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a  pending…

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G.A. Repple Broker Accused of Lying to Clients on Website

G.A. Repple Broker Accused of Lying to Clients on Website 150 150 Rex Securities Law

July 2018 Securities regulators from Massachusetts have accused Alan P. Siegel, a broker with G.A. Repple of lying on his website by claiming that he had never received a customer…

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LPL Financial to Pay $26M to Resolve Regulatory Investigation

LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 150 150 Rex Securities Law

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

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Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Rex Securities Law

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

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San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Rex Securities Law

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Rex Securities Law

UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…

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Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes

Dennis H. Cambal-Former JHS Capital Broker-Discloses Regulatory Action & Customer Disputes 150 150 Rex Securities Law

August 2016- Yarmouth, MA The FINRA records of Dennis H. Cambal ,  a  stock broker who is currently  employed by NBC Securities  disclose a prior regulatory event and 9 prior customer disputes. The Financial Industry Regulatory Authority…

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