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finra arbitration attorney

Sanders Morris Harris Sanctioned by Securities Regulator
Sanders Morris Harris Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 31, 2014-Houston, Texas  Sanders Morris Harris, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

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Sonos Capital Advisors Fined by South Carolina Securities Regulator
Sonos Capital Advisors Fined by South Carolina Securities Regulator 150 150 Rex Securities Law

February 12, 2015- Myrtle Beach, South Carolina The Securities Division of Office of the Attorney General of South Carolina imposed a $10,000 fine against Sonos Capital Advisors, LLC, of Myrtle…

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WR&A Financial Services Sanctioned by South Carolina Securities Regulator
WR&A Financial Services Sanctioned by South Carolina Securities Regulator 150 150 Rex Securities Law

February 12, 2015- South Carolina South Carolina Securities Commissioner Alan Wilson revoked the registration of WR&A Financial Services, Inc. of Charleston, South Carolina,  and assessed a $10,000 fine for failing…

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Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues
Edward D. Jones & Co. – Rex Securities Law Investigates Recent Regulatory Issues 150 150 Rex Securities Law

February 15, 2015 Edward D. Jones & Co. has been a FINRA member since 1939. Their main office is in St. Louis, Missouri, and they have over 11,000 branch offices…

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