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First Southwest Company, Dallas, TX, Fined by FINRA

First Southwest Company, Dallas, TX, Fined by FINRA 150 150 Rex Securities Law

Dallas, Texas The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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FINRA Fines Edward Jones & Co. $160,000

FINRA Fines Edward Jones & Co. $160,000 150 150 Rex Securities Law

St. Louis, Missouri The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by…

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FINRA Announces August 2013 Disciplinary Actions

FINRA Announces August 2013 Disciplinary Actions 150 150 Robert H. Rex

The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. If you have questions about losses in your brokerage…

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FINRA Files Complaint Vs. Commonwealth Capital Broker Kimberly Ann Springsteen-Abbott

FINRA Files Complaint Vs. Commonwealth Capital Broker Kimberly Ann Springsteen-Abbott 150 150 Rex Securities Law

Clearwater, Florida FINRA filed a complaint against Kimberly Ann Springsteen-Abbott (Case # 2011025675501) alleging that she directed the misuse of more than $344,000 in investor funds to pay for various…

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Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA

Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA 150 150 Rex Securities Law

Sanford, Florida In FINRA Case #2011028452701 ,  Kenneth Andrew Mauchin, a former Suntrust Investment Services Broker from Sanford, Florida, was barred from association with any FINRA member in any capacity.…

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FINRA Bars Brookfield, WI, Broker Robert John Beihoff

FINRA Bars Brookfield, WI, Broker Robert John Beihoff 150 150 Rex Securities Law

Brookfield, Wisconsin To resolve allegations that he effected securities transactions totaling over $27 million dollars in customer’s securities accounts that were held away from, and owned by,  non-customers of his…

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McKinney Texas Broker Conrad Tambalo Bautista Barred by FINRA

McKinney Texas Broker Conrad Tambalo Bautista Barred by FINRA 150 150 Rex Securities Law

Conrad Tambalo Bautista, a registered representative from McKinney, Texas, submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA (Financial Industry Regulatory…

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Deerfield, Florida Broker Andrew Lewis Pittman Barred by FINRA

Deerfield, Florida Broker Andrew Lewis Pittman Barred by FINRA 150 150 Rex Securities Law

Deerfield Beach, Florida In a recent FINRA case (#2011029315301), Andrew Lewis Pittman, a broker from Deerfield Beach, Florida entered into an Acceptance Waiver and Consent with the Financial Industry Regulatory…

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FINRA Fines StateTrust Investments Fines $1 Million, Sanctions Brokers Jose Turnes & Jeffrey Cimbal

FINRA Fines StateTrust Investments Fines $1 Million, Sanctions Brokers Jose Turnes & Jeffrey Cimbal 150 150 Rex Securities Law

On June 26, 2013, the Financial Industry Regulatory Authority (FINRA) fined StateTrust Investments, Inc. $1.045 million and sanctioned Jose Luis Turnes, the firm’s head trader, for charging excessive markups and…

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