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elder financial abuse by stockbroker

Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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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 150 150 Rex Securities Law

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…

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Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website, is a historical record of individuals from New Jersey who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Stuart Albert (Marlton) Michael R. read more

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

New York Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

UPDATED September 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

South Carolina Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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