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Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer
Robert W. Baird Broker Barred from Industry for Misrepresenting Account Value to Customer 150 150 Rex Securities Law

August 4, 2015 Patrick Landon Garrett, of Franklin, TN ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he verbally…

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Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator
Steven Goldberg-Former Bedrok Securities COO Sanctioned by Securities Regulator 150 150 Rex Securities Law

August 6, 2015 Steven P. Goldberg  ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he charged about $50,000…

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StockBroker Sanctioned for Mutual Fund Churning
StockBroker Sanctioned for Mutual Fund Churning 150 150 Rex Securities Law

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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Wells Fargo Advisors Fined $500,000 for Sale of Structured Products
Wells Fargo Advisors Fined $500,000 for Sale of Structured Products 150 150 Rex Securities Law

August 9, 2015 Wells Fargo Advisors  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 2005-July 2012, the…

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Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator
Former Asset Advisors Management Broker from Boerne Texas Sanctioned by Securities Regulator 150 150 Rex Securities Law

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

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Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums
Nationwide Securities Broker Barred for Failing to Remit Insurance Premiums 150 150 Rex Securities Law

July 24, 2015 Charles Myrick Winstead  of Byram,  MS, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly
Eight South Florida Individuals Charged with Securities Fraud Targeting Elderly 150 150 Rex Securities Law

July 27, 2015- Boca Raton, Florida The FBI announced today the indictment of eight individuals for participating in securities fraud involving Thought Development Inc., a Miami Beach based company claiming…

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Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX
Mark Plummer/Chestnut Exploration Expelled From Securities Industry-Richardson, TX 150 150 Rex Securities Law

DECEMBER 2016 UPDATE-Richardson, Texas In an Extended Hearing Panel Decision, FINRA expelled Texas E&P Partners for providing a falsified document to FINRA during an investigation. Mark Plummer, its CEO, was…

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Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities
Stockbroker Sanctioned for Unsuitable Sale of Private Placement Securities 150 150 Rex Securities Law

July 21, 2015 John P. Jones  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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