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securities america complaint

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX

Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Rex Securities Law

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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Securities America Fined $250,000 by Regulators- Coral Springs, FL

Securities America Fined $250,000 by Regulators- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

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Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Rex Securities Law

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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Former Securities America Broker Sanctioned by Securities Regulator

Former Securities America Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

August 25, 2015- Redondo Beach, CA Derek Lee Miller , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA

Gregory Bolduc-Former UnionBanc Investment Services Broker Sanctioned by FINRA 150 150 Rex Securities Law

February 23, 2015 Gregory James Bolduc  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while registered with UnionBanc Investment Services,…

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Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator

Former Securities America Broker in Gilbert, AZ, Sanctioned by Securities Regulator 150 150 Rex Securities Law

February 23, 2015 James Rosebrough  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in outside business activities without…

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