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FSC Securities complaint

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL 150 150 Rex Securities Law

JUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an  unsuitable real estate investment trust (REIT).…

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Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 150 150 Rex Securities Law

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes  of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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Barry Hartman-FSC Securities Broker- Sanctioned by Regulator

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

  Barry George Hartman , 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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FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme

FSC Securities Hit with $1.28M Award For Aubrey Lee Price Ponzi Scheme 150 150 Rex Securities Law

August 11, 2015 -Atlanta, Georgia An arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $1.28 million to a group of individuals who were victims of a ponzi scheme…

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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…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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South Carolina Regulators Revoke Registration of Broker William B. Guido

South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

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