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LPL Financial to Pay $26M to Resolve Regulatory Investigation

LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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NASAA Advisory Council on Senior Issues/Diminished Capacity Appointed

NASAA Advisory Council on Senior Issues/Diminished Capacity Appointed 150 150 Rex Securities Law

The North American Securities Administrators Association (NASAA) announced on September 16, 2014 formation of an advisory council to help inform the recently formed Committee of Senior Issues and Diminished Capacity.…

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NASAA to Focus on Investor Abuse Involving Seniors

NASAA to Focus on Investor Abuse Involving Seniors 150 150 Rex Securities Law

Washington, DC The North American Securities Administrators Association (NASAA) recently announced formation of a committee  to protect senior investors from financial exploitation.  According to NASAA, 34% of enforcement actions  taken…

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E*Trade Establishes Hotline for Auction Rate Securities Investors

E*Trade Establishes Hotline for Auction Rate Securities Investors 150 150 Rex Securities Law

 The North American Securities Administrators Association (NASAA) announced establishment of  a toll-free hotline and website  to assist investors who purchased auction rate securities (ARS) through E*TRADE Securities LLC. Regulators and…

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