fbpx

finra arbitration attorney

TD Ameritrade Fined $300,000 by Texas Securities Regulators
TD Ameritrade Fined $300,000 by Texas Securities Regulators 150 150 Rex Securities Law

July 28, 2015 TD Ameritrade agreed to pay $300,000 to the state of Texas for failing to enforce internal rules requiring customers to be notified when money is withdrawn from…

read more

South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015
South Carolina Securities Division Hosts Investor Education Seminar–Wednesday August 19th, 2015 150 150 Rex Securities Law

August 10, 2015-Darlington, South Carolina The South Carolina Office of the Attorney General, Securities Division is hosting a public investor education seminar at noon, Wednesday, August 19th, 2015. Topics to…

read more

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator
Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

read more

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL
Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 150 150 Rex Securities Law

July 14, 2015-Nokomis, Florida Kelly R. Brantley  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…

read more

Cape Securities Fined $125K by Securities Regulators
Cape Securities Fined $125K by Securities Regulators 150 150 Rex Securities Law

May 5, 2015 Cape Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

read more

Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien
Former LPL Financial Broker Sanctioned by Regulators For Failing to Disclose IRS Lien 150 150 Rex Securities Law

July 1, 2015 John Allen Brown entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in June 2015 he…

read more

Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas
Former Winter Park. FL, Man Arrested on Oil & Gas Fraud Charges in Texas 150 150 Rex Securities Law

July 10, 2015 The Dallas Morning News reports that Justin Spearman, 27, of Winter Park, Florida, has been charged in the Eastern District of Texas with wire fraud in connection…

read more

North Carolina Securities Division July 2015 Newsletter
North Carolina Securities Division July 2015 Newsletter 150 150 Rex Securities Law

July  2015- Raleigh, North Carolina The North Carolina Securities Division of the Department of the Secretary of State issues a monthly newsletter highlighting recent enforcement actions for securities violations and other…

read more

Orlando Florida Man Sentenced for Defrauding Investors
Orlando Florida Man Sentenced for Defrauding Investors 150 150 Rex Securities Law

July 13, 2015- Orlando, Florida The FBI announced in a Press Release that Dante S. Giovannetti, 50, of Orlando, Florida, was sentenced to 63 months in federal prison for wire fraud. He was also…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com