finra arbitration attorney Archives - Page 153 of 170

Rex Securities Law
November 16, 2015
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Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals

Austin Money Mangers Ordered to Pay $31 million Restitution on Phony Oil and Gas Deals 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 November 16, 2015 February 11, 2016

October 26, 2015- Austin, Texas U.S. Magistrate Mark Lane entered a final judgment in favor of the SEC against four money managers who promoted scam investments in oil and gas…

Rex Securities Law
November 16, 2015
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Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities Fraud

Bruce Hammonds-Stock Broker from San Antonio/Boerne Texas Sentenced for Securities 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 November 16, 2015 April 11, 2016

San Antonio, Texas The FBI announced that former Merrill Lynch broker Bruce E. Hammonds, 50, of San Antonio and Boerne, Texas, was sentenced to 57 months in prison for securities…

Rex Securities Law
November 12, 2015
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Signator Investors Fined $450,000 for Inadequate Supervisory Procedures

Signator Investors Fined $450,000 for Inadequate Supervisory Procedures 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 November 12, 2015 April 11, 2016

August 13, 2015- Loudon, Tennessee/ Boston, MA Signator Investors, Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

Rex Securities Law
November 11, 2015
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San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by Regulator

San Antonio Based Braymen, Lambert & Noel Securities Sanctioned by 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 November 11, 2015 February 11, 2016

August 26, 2015- San Antonio, Texas Braymen, Lambert and Noel Securities (BLNS) and Shannon Braymen , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory…

Rex Securities Law
November 11, 2015
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Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator

Former Advisors Asset Management (AAM) Broker in San Antonio 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 November 11, 2015 February 11, 2016

July 20, 2015- San Antonio, Texas Andrew Joseph Thomas , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

Rex Securities Law
November 11, 2015
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Lantana Florida Broker Sanctioned by Securities Regulator

Lantana Florida Broker 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 November 11, 2015 April 11, 2016

July 13, 2015- Lantana, Florida Ingrid M. Batchelor , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged…

Rex Securities Law
November 11, 2015
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Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators

Malcolm J. Babin-Former PFS Investments Broker – Barred by Securities Regulators 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 November 11, 2015 July 17, 2016

July 30, 2015-Baton Rouge, LA According to FINRA records, Malcolm Jamil Babin , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

Rex Securities Law
November 11, 2015
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Kuhns Brothers Securities Broker Sanctioned by FINRA

Kuhns Brothers Securities Broker Sanctioned by FINRA 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 November 11, 2015 April 11, 2016

July 15, 2015- Jeffrey Howard Auerbach , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

Rex Securities Law
November 11, 2015
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Transamerica Financial Advisors Sanctioned by Securities Regulators

Transamerica Financial Advisors Sanctioned by Securities Regulators 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 November 11, 2015 April 11, 2016

July 24, 2015- St. Petersburg, Florida Transamerica Financial Advisors (Transamerica) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…