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conflict of interest

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest

JMP Securities Fined $125,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, JMP Securities LLC,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010 through…

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William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest

William Blair & Company Fined $350,000 Over Failure to Disclose Conflict of Interest 150 150 Rex Securities Law

August 17, 2015, William Blair & Company,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from January 2010…

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David F. Brochu Barred From Securities Industry-Wells, Maine

David F. Brochu Barred From Securities Industry-Wells, Maine 150 150 Rex Securities Law

UPDATE MAY 2016-In May 2016 David F. Brochu of Wells, Maine,  was permanently barred from the securities industry by the US Securities and Exchange Commission. In February 2016 the New…

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SEC Charges Houston-Based Robare Group, Ltd. With Failure to Disclose Conflict of Interest to Clients

SEC Charges Houston-Based Robare Group, Ltd. With Failure to Disclose Conflict of Interest to Clients 150 150 Rex Securities Law

The Securities & Exchange Commission (SEC) announced fraud charges against Robare Group, Ltd. of Houston, Texas, alleging that they recommended clients invest in  certain mutual funds without disclosing a conflict…

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