Rex Securities Law
October 17, 2013
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Karen Geiger Fined/Suspended by FINRA for Sale of Illiquid/High Risk Investments to Retired Couple-Akron, OH

Karen Geiger Fined/Suspended by FINRA for Sale of Illiquid/High Risk Investments to Retired Couple-Akron, OH https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 17, 2013 May 7, 2017

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…

Rex Securities Law
October 17, 2013
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Wells Fargo Broker Fined/Suspended For Selling ETFs to Elderly Couple

Wells Fargo Broker Fined/Suspended For Selling ETFs to Elderly Couple https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 17, 2013 February 4, 2015

Rex Securities Law
September 8, 2013
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Ex-Wells Fargo Broker Joseph Anthony Carpenter Jr. Converts Customer IRA Funds-Barred by FINRA

Ex-Wells Fargo Broker Joseph Anthony Carpenter Jr. Converts Customer IRA Funds-Barred by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 8, 2013 February 4, 2015

Palm Harbor,Florida 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…

Rex Securities Law
April 26, 2013
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FINRA Orders Noble Financial Capital to Pay Investor for Misrepesentation

FINRA Orders Noble Financial Capital to Pay Investor for Misrepesentation https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 26, 2013 February 27, 2015

A FINRA arbitration panel in Boca Raton, FL, found Noble Financial Capital Markets liable for claims of suitability, failure to supervise, negilgence, breach of fiduciary duty, misrepresentations, ommissions of fact and selling away and order them to pay their former customer, an IRA (individual retirement account) $36,528, plus costs. FINRA Case # 11-3807. The investments complained of in the matter were two private placement promissory notes: Athena Premium Funding II LLC SHL Holdings If you have questions or complaints about losses in your brokerage account, call us for a no charge consultation. read more

recover IRA losses

Karen Geiger Fined/Suspended by FINRA for Sale of Illiquid/High Risk Investments to Retired Couple-Akron, OH

Wells Fargo Broker Fined/Suspended For Selling ETFs to Elderly Couple

Ex-Wells Fargo Broker Joseph Anthony Carpenter Jr. Converts Customer IRA Funds-Barred by FINRA

FINRA Orders Noble Financial Capital to Pay Investor for Misrepesentation