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stockbroker negligence

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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Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Rex Securities Law

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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Brokerage Firm Rankings by Total Revenue-2015- The Investment News
Brokerage Firm Rankings by Total Revenue-2015- The Investment News 150 150 Rex Securities Law

February 22, 2016 The Investment News recently announced 2015 Broker Dealer rankings, by Total Revenue.   Firm Total revenue ▼ 1 LPL Financial LLC $4,293,898,569 2 Ameriprise Financial Services Inc. $3,738,344,789…

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Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL
Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL 150 150 Rex Securities Law

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was  registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

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Craig Scott Capital & Execs Accused of Churning Customer Accounts
Craig Scott Capital & Execs Accused of Churning Customer Accounts 150 150 Rex Securities Law

UPDATE-August 2016-Brent Porges not currently registered. See this for details. January 28, 2016 Craig Scott Capital (CSC) , its co-founder and President Craig Scott Taddonio and Brent Morgan Porges, a…

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Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia
Allstate Financial Services Broker Discharged/ Sanctioned by Regulators- Griffin, Georgia 150 150 Rex Securities Law

January 13, 2016- Griffin, Georgia Stanley Ball entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was registered with Allstate…

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Worst Performing Mutual Funds for 2015
Worst Performing Mutual Funds for 2015 150 150 Rex Securities Law

February 11, 2016 According to the Financial Times, the worst performing US Mutual Funds of 2015 are :  Name                      …

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Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint
Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Rex Securities Law

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

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