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Municipal Bonds

NatAlliance Securities Censured and Fined by Securities Regulator-FINRA

NatAlliance Securities Censured and Fined by Securities Regulator-FINRA 150 150 Rex Securities Law

NatAlliance Securities  March 2023- Austin, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based NatAlliance Securities (CRD 39455) was censured and fined $40,000 for mismarking bonds and…

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Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Rex Securities Law

April 2021- Boca Raton, FL The FINRA records of  Adam C. Goodman ,  a  registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. ,  disclose  2 pending customer…

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Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ

Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ 150 150 Rex Securities Law

August 2018- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose two prior customer disputes and a pending customer dispute. The Financial…

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Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ

Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ 150 150 Rex Securities Law

February 2019- Parsippany, New Jersey The FINRA records of  Stephen G. Kowalski ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and 4 currently pending customer disputes. The…

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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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Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Rex Securities Law

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.

James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Rex Securities Law

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ

Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ 150 150 Rex Securities Law

UPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…

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Sean M. Logue-Hennion & Walsh Broker-Discloses Customer Disputes Over Municipal Bond Losses-Parsippany, NJ

Sean M. Logue-Hennion & Walsh Broker-Discloses Customer Disputes Over Municipal Bond Losses-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Sean M. Logue ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose 2 prior final customer disputes and a currently pending customer dispute.…

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