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failure to supervise

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY

Ivan Shore-Oppenheimer & Co. Broker-Discloses Regulatory Event & Suspension-New York, NY 150 150 ER

Ivan Shore Investigation November 2021- New York, NY According to his FINRA record  Ivan Shore , a broker employed by Oppenheimer & Co. discloses a final regulatory investigation event and…

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Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures

Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures 150 150 Rex Securities Law

UPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…

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Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY

Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY 150 150 Rex Securities Law

New York According to FINRA records,  Humbert B. Powell, III ,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri

MidAmerica Financial Services (MFS) Sanctioned by Securities Regulators- Joplin, Missouri 150 150 Rex Securities Law

  On February 5, 2016, MidAmerica Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2010-2014, MidAmerica…

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Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Rex Securities Law

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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