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Alabama Broker Terry Bagwell Sanctioned by Securities Regulator
Alabama Broker Terry Bagwell Sanctioned by Securities Regulator 150 150 Rex Securities Law

UPDATE- April 2016: Bagwell Settles Millions in Customer Claims/ Named in Alabama Securities Commission investigation. See this for more.  February 26, 2015  – Birmingham, Alabama Terry Joe Bagwell   entered into a Letter of…

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EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements
EDI Financial of Irving, Texas, Sanctioned Over Sale of Private Placements 150 150 Rex Securities Law

February 25, 2015 EDI Financial, Inc.   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company failed to adopt and implement…

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Former J.P. Morgan Securities Broker Barred from Securities Industry
Former J.P. Morgan Securities Broker Barred from Securities Industry 150 150 Rex Securities Law

February 23, 2015 Alen Alic  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…

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Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA
Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA 150 150 Rex Securities Law

February 23, 2015 Gregory James Bolduc  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while registered with UnionBanc Investment Services,…

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Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator
Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator 150 150 Rex Securities Law

February 23, 2015 James Rosebrough  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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Ascendiant Capital Markets Named in Regulatory Complaint
Ascendiant Capital Markets Named in Regulatory Complaint 150 150 Rex Securities Law

February 23, 2015 The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against Ascendiant Capital Markets, LLC alleging that they failed to satisfy important supervisory, disclosure and…

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North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator
North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator 150 150 Rex Securities Law

February 20, 2015- North Charleston, South Carolina Jesse Clifton Dove and his registered investment adviser company Investment Advisory Center, Inc. entered into a Consent Order with the Securities Commissioner of…

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Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud
Dante S. Giovannetti Of Orlando, FL, Indicted on Investment Fraud 150 150 Rex Securities Law

February 18, 2015-Orlando, Florida According to the Tampa Division of the Federal Bureau of Investigation (FBI), Dante S. Giovannetti, age 50, has been indicted and charged with five counts of…

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Lincoln Nebraska Couple Pleads Guilty to Investment Scam
Lincoln Nebraska Couple Pleads Guilty to Investment Scam 150 150 Rex Securities Law

February 18, 2015- Lincoln, Nebraska The JournalStar.com reports that Scott and Robin Usher of Lincoln have admitted duping investors out of about $750,000 in a scheme involving phony inventions and…

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