stockbroker malpractice Archives - Page 208 of 209

Rex Securities Law
February 25, 2015
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North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator

North Charleston Investment Advisor Sanctioned by South Carolina Securities Regulator 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 February 25, 2015 May 5, 2016

February 20, 2015- North Charleston, South Carolina Jesse Clifton Dove and his registered investment adviser company Investment Advisory Center, Inc. entered into a Consent Order with the Securities Commissioner of…

Rex Securities Law
February 18, 2015
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Lincoln Nebraska Couple Pleads Guilty to Investment Scam

Lincoln Nebraska Couple Pleads Guilty to Investment Scam 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 February 18, 2015 May 5, 2016

February 18, 2015- Lincoln, Nebraska The JournalStar.com reports that Scott and Robin Usher of Lincoln have admitted duping investors out of about $750,000 in a scheme involving phony inventions and…

Rex Securities Law
February 17, 2015
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B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator

B.B. Graham & Co. Broker in Katy, Texas, Sanctioned by Securities Regulator 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 February 17, 2015 May 5, 2016

December 5, 2014-Katy, Texas Henry McLain Dickinson, III entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between September 2009 and November…

Rex Securities Law
February 17, 2015
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Sanders Morris Harris Sanctioned by Securities Regulator

Sanders Morris Harris Sanctioned by Securities Regulator 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 February 17, 2015 May 5, 2016

December 31, 2014-Houston, Texas Sanders Morris Harris, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in 2012, as a…

Rex Securities Law
February 17, 2015
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OneAmerica Securities Investigated for Failing to Supervise Option Trading

OneAmerica Securities Investigated for Failing to Supervise Option Trading 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 February 17, 2015 May 5, 2016

February 13, 2015 OneAmerica Securities, Inc. entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

Rex Securities Law
February 17, 2015
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Racine Broker Michael Cuccia Sanctioned by Securities Regulator

Racine Broker Michael Cuccia Sanctioned by Securities Regulator 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 February 17, 2015 May 5, 2016

February 13, 2015-Racine, Wisconsin Michael F. Cuccia entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he falsified documents, made loans…

Rex Securities Law
February 17, 2015
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Sonos Capital Advisors Fined by South Carolina Securities Regulator

Sonos Capital Advisors Fined by South Carolina Securities Regulator 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 February 17, 2015 May 5, 2016

February 12, 2015- Myrtle Beach, South Carolina The Securities Division of Office of the Attorney General of South Carolina imposed a $10,000 fine against Sonos Capital Advisors, LLC, of Myrtle…

Rex Securities Law
February 17, 2015
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WR&A Financial Services Sanctioned by South Carolina Securities Regulator

WR&A Financial Services Sanctioned by South Carolina Securities Regulator 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 February 17, 2015 May 5, 2016

February 12, 2015- South Carolina South Carolina Securities Commissioner Alan Wilson revoked the registration of WR&A Financial Services, Inc. of Charleston, South Carolina, and assessed a $10,000 fine for failing…

Rex Securities Law
February 16, 2015
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Florida Financial Planner Michael Hardman Convicted of Bilking Investors

Florida Financial Planner Michael Hardman Convicted of Bilking Investors 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 February 16, 2015 May 5, 2016

February 13, 2015-West Palm Beach, Florida The InsuranceNewsNet.com reports that former Lake Worth, FL, financial planner Michael Hardman was convicted of first and second degree grand theft for bilking investors…