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stockbroker negligence

Joseph Zada-Wellington FL/Grosse Point Socialite Convicted of Fraud-Phony Oil Deals

Joseph Zada-Wellington FL/Grosse Point Socialite Convicted of Fraud-Phony Oil Deals 150 150 Rex Securities Law

September 3, 2015- Wellington Florida The Sun Sentinel reports that Joseph Zada, 57, of Wellington, Florida and Grosse Pointe Shores, Michigan, was found guilty by a federal jury of 15…

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SEC Names West Palm Beach Man in Boiler Room Securities Fraud

SEC Names West Palm Beach Man in Boiler Room Securities Fraud 150 150 Rex Securities Law

August 20, 2015-West Palm Beach, FL Moshe Yehuda Dunoff was charged by the Securities and Exchange Commission (SEC) with participating in a boiler room fraud that raised over $1.5 million…

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E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies

E1 Asset Management Sanctioned by Securities Regulators for Supervisory Deficiencies 150 150 Rex Securities Law

June 5 , 2015 E1 Asset Management , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve numerous allegations related to supervision, including allegations…

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Former Cambridge Investment Research Broker Charged with Felony

Former Cambridge Investment Research Broker Charged with Felony 150 150 Rex Securities Law

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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Barry Hartman-FSC Securities Broker- Sanctioned by Regulator

Barry Hartman-FSC Securities Broker- Sanctioned by Regulator 150 150 Rex Securities Law

  Barry George Hartman , 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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Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies

Yuvraj Taneja=Former PFS Investments Broker-Barred from Industry for Selling Phony Insurance Policies 150 150 Rex Securities Law

August19, 2015-Herndon, VA According to FINRA records, Yuvraj Taneja , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she electronically…

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Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV

Jack A. Scherbert -Wells Fargo Stockbroker Barred from Securities Industry-Sparks NV 150 150 Rex Securities Law

August19, 2015, Jack Allen Scherbert , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on…

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Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL

Mark B. Quimby-Former Allstate Financial Services Broker-Sanctioned by Securities Regulator-Tampa, FL 150 150 Rex Securities Law

August18, 2015, Mark Brian Quimby,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he caused two customers to…

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Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client

Former Cambridge Investment Research Broker Sanctioned in Connection with FINRA Investigation of Conversion of Funds from Elderly Client 150 150 Rex Securities Law

August18, 2015, Glenn Allen Moffitt,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for…

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