fbpx

Montana Securities Department

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Rex Securities Law

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

read more

PHX Financial Accused of Churning in Montana Securities Regulator Action

PHX Financial Accused of Churning in Montana Securities Regulator Action 150 150 Rex Securities Law

On October 28, 2014 the Montana Commissioner of Securities filed a Notice of Proposed Agency Action and Opportunity against PHX Financial, Inc. , aka Blackwall Capital, a Montana licensed broker-dealer…

read more

D.A. Davidson Broker Susan Skaar (Tutti Meeks) Sanctioned by Securities Regulators

D.A. Davidson Broker Susan Skaar (Tutti Meeks) Sanctioned by Securities Regulators 150 150 Rex Securities Law

December 2, 2014- Bozeman, Montana To resolve allegations that from 2003-2014, she affixed initials of 4 customers to four documents and signed the signatures of two other customers to two…

read more

Montana Securities Regulators Offer “How to Smell A Rat” Fraud Awareness Handouts

Montana Securities Regulators Offer “How to Smell A Rat” Fraud Awareness Handouts 150 150 Rex Securities Law

Monica J. Lindeen, Montana Commissioner of Securities and Insurance offers investor education resources on their website, these How to Smell a Rat Fraud Awareness handouts: Investor Bill of Rights 7…

read more