finra arbitration attorney Archives - Page 140 of 170

Rex Securities Law
March 16, 2016
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Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account

Sagepoint Financial Hit With Arbitration Award for Allowing Husband to Trade Wife’s Account https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 16, 2016 March 17, 2016

March 3, 2016- Des Moines, Iowa A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Sagepoint Financial to pay $57,500 to a wife who brought the action against Sagepoint alleging…

Rex Securities Law
March 15, 2016
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Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL

Lisa Lowi Investigation-Former RBC Capital Broker-W. Palm Beach, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 November 10, 2017

November 2017-South Florida We are investigating former RBC Capital Markets/ Janney Montgomery Scott broker Lisa J Lowi of West Palm Beach, Florida. According to her official FINRA record, Lowi was recently barred from the…

Rex Securities Law
March 15, 2016
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Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 17, 2016

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

Rex Securities Law
March 15, 2016
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Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam

Colleyville, Texas Resident Sentenced to 15 Years for Wind Farm Scam https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 21, 2016

March 15, 2016-Dallas, Texas The Department of Justice announced that Colleyville, Texas, resident David L. Spaulding, 62, has been sentenced to 15 years in federal prison and ordered to pay…

Rex Securities Law
March 15, 2016
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Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud

Naples Florida Man Sentenced to 6 1/2 Years for Investment Fraud https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 15, 2016

March 14, 2016- Fort Myers, Florida The Department of Justice announced today that Dorian Garcia, age 31, was sentenced to 6 and one half years in federal prison for a…

Rex Securities Law
March 15, 2016
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GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges

GL Capital Partners Former CEO Daniel Thibeault Pleads Guilty to Fraud Charges https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 15, 2016

March 14, 2016 The Investment News reports that Daniel Thibeault pleaded guilty to criminal charges that he defrauded fund investors of GL Capital Partners out of $15 million by leading…

Rex Securities Law
March 15, 2016
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Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist

Oklahoma Securities Regulator Orders Houston Based Company to Cease and Desist https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 15, 2016 March 15, 2016

March 4, 2016-Oklahoma City, OK The Oklahoma Department of Securities file an Order to Cease and Desist and Notice of Opportunity for Hearing in the matter of Houston-based ThinAir Wireless,…

Rex Securities Law
March 14, 2016
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Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator

Kenton Gearhart (Merrill Lynch, Cincinatti) Sanctioned by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 14, 2016 March 15, 2016

March 10, 2016- Cincinnati, Ohio Kenton K. Gearhart entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Merrill…

Rex Securities Law
March 14, 2016
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Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information

Raymond James Fined $500,000 by Securities Regulators for Disclosing Nonpublic Customer Information https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 14, 2016 March 14, 2016

February 26, 2016- St. Petersburg, FL Raymond James & Associates and Raymond James Financial Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…