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E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies
E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Rex Securities Law

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Rex Securities Law

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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Barry Hartman-FSC Securities Broker- Sanctioned by Regulator
Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

  Barry George Hartman , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies
Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Rex Securities Law

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV
Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV 150 150 Rex Securities Law

August19, 2015, Jack Allen Scherbert , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on…

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Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale
Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Rex Securities Law

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL
Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Rex Securities Law

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client
Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Rex Securities Law

August18, 2015, Glenn Allen Moffitt,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

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Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam
Dallas Attorney Sentenced for Investor Fraud in Nue Vodka/Vanguard Vodka Scam 150 150 Rex Securities Law

August 19, 2015- Dallas, Texas Andrew Lee Siegel, 56, a Dallas attorney pleaded guilty to felony offenses involving copyright infringement and investor fraud and was sentenced by US District Judge…

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