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theft by stock broker

PFS Investments Broker Huel Cox Barred by FINRA for Theft

PFS Investments Broker Huel Cox Barred by FINRA for Theft 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

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Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft

Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft 150 150 Rex Securities Law

 Pinebrook, New Jersey The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by…

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FINRA Sues Christopher S. Vaughn-Theft From Elderly Client

FINRA Sues Christopher S. Vaughn-Theft From Elderly Client 150 150 Rex Securities Law

Leesburg, Florida–The Villages FLA The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors…

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Anthony Brentin, Former PFS Investments Principal, Commits Theft, Barred by FINRA

Anthony Brentin, Former PFS Investments Principal, Commits Theft, Barred by FINRA 150 150 Rex Securities Law

Longview, Washington The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA

Former Suntrust Investment Services Broker Kenneth Andrew Mauchin Barred by FINRA 150 150 Rex Securities Law

Sanford, Florida In FINRA Case #2011028452701 ,  Kenneth Andrew Mauchin, a former Suntrust Investment Services Broker from Sanford, Florida, was barred from association with any FINRA member in any capacity.…

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Park Avenue Securities/MML Investors Services Broker Barred From Securities Industry-Theft From Elderly Client

Park Avenue Securities/MML Investors Services Broker Barred From Securities Industry-Theft From Elderly Client 150 150 Rex Securities Law

Martin B. Feibish was recently barred from the industry by FINRA for stealing millions from an elderly client in a decade long trail of deceit. Without admitting or denying anything,…

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Ameriprise Hit with $750,000 FINRA Fine Over Wire Transfer Theft-Broker Jennifer Guelinas

Ameriprise Hit with $750,000 FINRA Fine Over Wire Transfer Theft-Broker Jennifer Guelinas 150 150 Rex Securities Law

Ameriprise Financial Services and its affiliated clearing firm, American Enterprise Investment Services, Inc. agreed to pay a civil fine of $750,000 to FINRA for not having adequate systems in place…

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