Summit Brokerage Services problem Archives - Page 3 of 3

Rex Securities Law
February 15, 2016
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Lawrence Miller-Former LPL FInancial Broker-Barred from Industry

Lawrence Miller-Former LPL FInancial Broker-Barred from Industry 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 15, 2016 June 15, 2016

February 11, 2016- Plantation, Florida Lawrence Leslie Miller entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to provide…

Rex Securities Law
January 11, 2016
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Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities Fraud 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 January 11, 2016 March 16, 2016

1/8/2016- Cleveland, Ohio Larry Werbel, 67, of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

Rex Securities Law
December 1, 2015
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Summit Brokerage Services Broker Sanctioned for Borrowing from Customer

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 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 December 1, 2015 March 8, 2016

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

Rex Securities Law
August 5, 2015
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J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 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 August 5, 2015 April 12, 2016

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

Rex Securities Law
July 17, 2015
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Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL 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 July 17, 2015 April 28, 2017

July 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…