fbpx

investacorp problem

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Rex Securities Law

August 2018-Appleton, WI The FINRA records of  Edward A. Klug,  a  former stock broker who was last employed by Newbridge Securities ,  disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…

read more

John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH

John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH 150 150 Rex Securities Law

May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses two prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

read more

Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI

Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI 150 150 Rex Securities Law

May 2017-Plymouth, MI The FINRA records of  Curtis L. Whipple,  a  stockbroker who is currently  registered with Kalos Capital  disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…

read more

Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas

Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas 150 150 Rex Securities Law

Austin, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

read more

Former Newbridge Securities Broker in Pompano Florida Sanctioned by Securities Regulators

Former Newbridge Securities Broker in Pompano Florida Sanctioned by Securities Regulators 150 150 Rex Securities Law

August  2015- Pompano Beach, Florida Walter Paul Priebe , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to notify his…

read more

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales

Miami Based Investacorp Sanctioned For Excessive Sales Charges on REIT Sales 150 150 Rex Securities Law

July 15, 2015- Miami, Florida Investacorp Inc. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from April 2009…

read more

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Rex Securities Law

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

read more

Stockbroker Richard A. McGuire Sanctioned by Regulators

Stockbroker Richard A. McGuire Sanctioned by Regulators 150 150 Rex Securities Law

November 3, 2014- The Financial Industry Regulatory Authority (FINRA) barred Richard A. McGuire from associating with any FINRA member firm in any capacity and ordered him to pay restitution of…

read more

FINRA Sues Richard McGuire-Alleges Theft/Forgery in Customer’s Account

FINRA Sues Richard McGuire-Alleges Theft/Forgery in Customer’s Account 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

read more

This site is protected by wp-copyrightpro.com