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finra arbitration attorney

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 150 150 Rex Securities Law

April 21, 2015 Daniel Grieco  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

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H.D. Vest Broker Fined/Suspended by Securities Regulators

H.D. Vest Broker Fined/Suspended by Securities Regulators 150 150 Rex Securities Law

June 8, 2015 Susan Cornwall  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…

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Newbridge Securities Fined by Regulators for Supervision Deficiencies

Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Rex Securities Law

June 10, 2015 Newbridge Securities  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

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Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 150 150 Rex Securities Law

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida,  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA)…

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Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Rex Securities Law

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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Garden State Securities Discloses 21 Regulatory Events

Garden State Securities Discloses 21 Regulatory Events 150 150 Rex Securities Law

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

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David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 150 150 Rex Securities Law

June 2, 2015-Boca Raton, FL David James LeDoux ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed…

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Plant City Florida Insurance Agent Charged with Fraud

Plant City Florida Insurance Agent Charged with Fraud 150 150 Rex Securities Law

June 16, 2015-Tampa, FL Heidi Y. Calonge, 34, of Plant City, Florida, was charged with bank fraud, wire fraud and mail fraud for allegedly wrongfully taking bonus and commission checks.…

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Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts

Corpus Christi Financial Advisor Indicted for Fraud in Connection with Sale of Investment Contracts 150 150 Rex Securities Law

June 16, 2015-Austin, Texas Kenneth Wayne Graves, a former investment adviser from Corpus Christi has been indicted in Nueces County on fraud and other charges related to the sale of…

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