Rex Securities Law
November 16, 2015
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J.P. Turner Sanctioned For Excessive Sales Charges

J.P. Turner Sanctioned For Excessive Sales Charges https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 16, 2015 April 11, 2016

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

Rex Securities Law
August 5, 2015
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J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2015 April 12, 2016

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

Rex Securities Law
December 10, 2014
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Levi Lindemann Named in SEC Action

Levi Lindemann Named in SEC Action https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 10, 2014 November 1, 2016

December 2, 2014-West Lakeland, Minnesota The US Securities & Exchange Commission (SEC) filed an emergency action against Levi Lindemann alleging that he is operating a fraudulent scheme through his companies,…

Rex Securities Law
June 17, 2014
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J.P. Turner Fined $65,000 by FINRA

J.P. Turner Fined $65,000 by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 17, 2014 January 18, 2015

J.P. Turner & Company was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) in May 2014 and the firm consented to the entry of findings that it failed…

Rex Securities Law
June 13, 2014
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RCS Capital Closes Purchase of J.P. Turner and Summit Financial

RCS Capital Closes Purchase of J.P. Turner and Summit Financial https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2014 January 18, 2015

By Robert H. Rex, Esq.On June 13, 2014, RCS Capital Corp. , owned by Nicholas Schorsch, announced the closing of the purchases of two more independent broker dealers–J.P. Turner &…

Rex Securities Law
January 27, 2014
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RCS Capital Corp.-Becomes Second Largest Independent Financial Advisor Network

RCS Capital Corp.-Becomes Second Largest Independent Financial Advisor Network https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 27, 2014 January 18, 2015

By Robert H. Rex, Esq.In January 2014, RCS Capital Corp. announced the acquisition of Cetera Financial Group, a large independent broker-dealer headquartered in El Segundo California, for $1.15 billion in…

Rex Securities Law
January 7, 2014
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FINRA Orders J.P. Turner to Pay $700K-Unsuitable Sales/Mutual Fund Switching

FINRA Orders J.P. Turner to Pay $700K-Unsuitable Sales/Mutual Fund Switching https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 7, 2014 January 18, 2015

In December 2013, The Financial Industry Regulatory Authority (FINRA) ordered Atlanta based broker-dealer J.P. Turner & Company to pay $707,559 in restitution to 84 customers for sales of unsuitable…

Rex Securities Law
April 16, 2013
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FINRA Announces April 2013 Disciplinary Actions

FINRA Announces April 2013 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 16, 2013 June 13, 2017

FINRA Announces April 2013 Disciplinary Actions By Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are some of the most significant actions for April 2013. read more

Rex Securities Law
October 19, 2012
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FINRA Announces October 2012 Disciplinary Actions

FINRA Announces October 2012 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 19, 2012 January 18, 2015

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here are significant Florida related actions for…

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