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over concentration of securities

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Rex Securities Law

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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Greenbacker Renewable Energy Company Investigation

Greenbacker Renewable Energy Company Investigation 150 150 Rex Securities Law

Greenback Renewable Energy is a publicly registered, non-traded limited liability company formed to acquire, construct and operate  income-generating renewable energy projects primarily within North America. While the company has made…

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Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Rex Securities Law

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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