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non-traditional ETFs

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 150 150 Rex Securities Law

July 2017-Malaysia The FINRA records of  Richard William Lunn Martin ,  a  former stockbroker who was last  employed by  G.F. Investment Services, disclose a  prior regulatory matter, 15 customer disputes, a current…

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GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Rex Securities Law

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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