July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. According to FINRA records, Tatro was permanently barred from the securities industry in…
read moreUPDATE MARCH 2017-In April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016. Smith currently discloses a total of 13 prior customer…
read moreJune 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and provided false testimony to FINRA staff in…
read moreJune 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…
read moreJuly 1, 2015-Langehorn, PA/ Boynton Beach, FL The Securities and Exchange Commission (SEC) filed a civil action against Malcolm Segal, 69, of Langhorne, Pennsylvania and Boynton Beach, FL, alleging that…
read moreThe Texas Department of Insurance provides an Information Center on their website as a resource for investors and consumers. Investors considering the purchase of an annuity can learn a great…
read moreJuly 2 , 2015-Tampa, FL The FBI announced that Juliet Ellis, 45, pleaded guilty to one count of wire fraud in connection with the embezzlement of funds from Palma Ceia…
read moreJune 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota, consented to the entry of an Order Instituting Administrative and…
read moreJune 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…
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