Rex Securities Law
October 3, 2013
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SEC Issues Final Order Vs. Former LPL Financial & Cambridge Investment Research Broker Richard Sandru

SEC Issues Final Order Vs. Former LPL Financial & Cambridge Investment Research Broker Richard Sandru 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 3, 2013 December 26, 2014

On August 12, 2013, a final order was entered against Richard P. Sandru (Rick Sandru) by the SEC making findings and imposing sanctions. The order may be viewed here. Sandru did not defend…

Robert H. Rex
June 18, 2013
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Ohio Securities Regulators Suspend Eric M. Douglas

Ohio Securities Regulators Suspend Eric M. Douglas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert H. Rex Robert H. Rex https://secure.gravatar.com/avatar/63d95f80eb91915bb42dfbaade95e4ca?s=96&d=mm&r=g June 18, 2013 February 16, 2015

On April 29th, 2013, the Ohio Division of Securities entered a final order suspending the Investment Representative and Securities Salesperson License of Eric M. Douglas. The suspension is for 90…

Rex Securities Law
April 11, 2013
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SEC Announces Action Vs.Richard P. Sandru

SEC Announces Action Vs.Richard P. Sandru 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 11, 2013 December 27, 2014

On April 8, 2013, the Securities and Exchange Commission (SEC) announced the issuance of an Order Instituting Administrative and Cease And Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and other statutory violations against Richard P. Sandru. View the Order. read more