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Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website in April 2013, is a historical record of individuals from Pennsylvania who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Robert J. read more

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website, is a historical record of individuals from New Jersey who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Stuart Albert (Marlton) Michael R. read more

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas 150 150 Rex Securities Law

SEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  March 2018-Rowlett, Texas The…

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Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Rex Securities Law

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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Securities Arbitration vs. Securities Mediation

Securities Arbitration vs. Securities Mediation 150 150 Rex Securities Law

August 5, 2015 The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving…

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Jeffrey Ihm of Naples, FL, Indicted on Internet Fraud Scheme

Jeffrey Ihm of Naples, FL, Indicted on Internet Fraud Scheme 150 150 Rex Securities Law

January 26, 2015-Fort Myers, FL Jeffrey Ihm, 47, was indicted for multiple counts of wire fraud and aggravated identity theft for posing as three different Roper Industries, Inc. executives and…

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Former Lubbock Investment Adviser Tracy Spaeth’s Sentence Suspended

Former Lubbock Investment Adviser Tracy Spaeth’s Sentence Suspended 150 150 Rex Securities Law

January 16, 2015-Lubbock, TX The Texas State Securities Board announced that the sentence of Tracy Morgan Spaeth was suspended and he was placed on eight years of community supervision. Spaeth…

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J.P. Morgan Broker Jamal Romero Barred from Securities Industry

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

January 5, 2015 Jamal Romero   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, while registered with J.P. Morgan Securities,…

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