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New Hampshire Bureau of Securities Regulation

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY

Robert Estevez, Former Investors Capital Corp Broker-Discloses Regulatory Matters-NY 150 150 Rex Securities Law

March 2017- New York According to publicly available records Robert Estevez , (CRD# 3161419) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Joseph Gunnar &…

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Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Rex Securities Law

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud

Richard Higgins of Stratham New Hampshire Sentenced for Securities Fraud 150 150 Rex Securities Law

August 10, 2015-New Hampshire Richard M. Higgins, of Stratham, New Hampshire was sentenced in Merrimack County Superior Court to serve 5 to 14 years after pleading guilty to one felony…

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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues

Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 150 150 Rex Securities Law

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

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