Securities Regulators Archives - Page 7 of 87

Rex Securities Law
September 15, 2021
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Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Minnesota Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 15, 2021

Sanctioned Minnesota Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Minnesota who have been disciplined by…

Rex Securities Law
September 15, 2021
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Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 16, 2021

Sanctioned Wisconsin Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Wisconsin who have been disciplined by…

Rex Securities Law
September 15, 2021
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California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 16, 2021

Sanctioned California Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from California who have been disciplined by…

Rex Securities Law
September 15, 2021
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Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 16, 2021

Sanctioned Oklahoma Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Oklahoma who have been disciplined by…

Rex Securities Law
September 15, 2021
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Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 16, 2021

Sanctioned Louisiana Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Louisiana who have been disciplined by…

Rex Securities Law
September 15, 2021
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Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 16, 2021

Sanctioned Texas Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Texas who have been disciplined…

Rex Securities Law
September 15, 2021
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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 15, 2021

September 2021- New York The FINRA records of Anthony Sica , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit, 3 regulatory sanctions and 3 prior…

Rex Securities Law
September 15, 2021
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Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 15, 2021 September 15, 2021

September 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…

ER
September 14, 2021
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William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA

William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 14, 2021 September 14, 2021

September 2021 – Los Angeles, CA According to publicly available records William S. Calvert, a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…