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ETN Exchange Traded Note

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 150 150 Rex Securities Law

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

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Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Rex Securities Law

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

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First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Rex Securities Law

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Rex Securities Law

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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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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