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David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ
David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records,  David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida
Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Rex Securities Law

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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