fbpx

stockbroker negligence

Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties
Texas Securities Commisioner Shuts Down Unregistered Sale of Oil & Gas Royalties 150 150 Rex Securities Law

March 25, 2015-Austin, TX John Morgan, Securities Commissioner for the State of Texas, entered an Emergency Cease and Desist Order against Lonestar Mineral Assets or Dallas and Colleyville, TX, and its…

read more

Losses on CNL Lifestyle Properties REIT May Be Recoverable
Losses on CNL Lifestyle Properties REIT May Be Recoverable 150 150 Rex Securities Law

March 12, 2015 In recent SEC filings, CNL Lifestyle Properties, Inc. reported an estimated value of $5.20 per share. The value of CNL LIfestyle Properties has dropped nearly 25% since…

read more

Dallas Based Worth Financial Group Sanctioned by Securities Regulator
Dallas Based Worth Financial Group Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 9, 2015 Worth Financial Group  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  it failed to establish adequate supervisory…

read more

Evan Kochav-Former World Equity Group Broker-Indicted
Evan Kochav-Former World Equity Group Broker-Indicted 150 150 Rex Securities Law

March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then…

read more

South Carolina Regulators Revoke Registration of Broker William B. Guido
South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

read more

Recent Orders Entered by Securities Commissioner of South Carolina
Recent Orders Entered by Securities Commissioner of South Carolina 150 150 Rex Securities Law

March 3, 2015 The Securities Commissioner of South Carolina recently issued the following Cease and Desist Orders. Follow links to view orders: In the Matter of William Gwinn and Creative Exteriors In the Matter…

read more

Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator
Christopher Taylor-Edward Jones Broker, Montgomery, Texas – Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 20 , 2015-Montgomery, Texas  Christopher Alan Taylor   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  he failed to provide…

read more

Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry
Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry 150 150 Rex Securities Law

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  Nougzust failed to provide…

read more

Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator
Daniel Retzke-Edward Jones Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

In March 2015, Daniel Gregory Retzke   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  during the course of an investigation…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com