Bolton Global Capital

  • ER

Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA
Matthew Jennings- Former Edward Jones Broker- Permanently Barred from FINRA- Johnston, IA 150 150 ER

Matthew T. Jennings Investigation August 2021- St. Louis, MO According to publicly available records,  Matthew Thomas Jennings a broker previously employed with Edward Jones discloses a prior regulatory event, a termination…

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  • ER

Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL
Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL 150 150 ER

August 2021- Miami, FL/Rio de Janeiro, Brazil  According to publicly available records,  Roland Gerbauld a broker previously employed with Bolton Global Capital. discloses a prior regulatory event and a pending regulatory…

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  • Robert Rex, Esq.

Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA
Paul W. Smith-Former Bolton Global Capital Broker Investigated Over Haverford Investment-Wayne, PA 150 150 Robert Rex, Esq.

September 2017 -Wayne, PA According to publicly available records Paul W. Smith (CRD#1070735) , a  former stockbroker who was last registered with Bolton Global Capital , disclose  a final regulatory event , 7 pending customer…

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  • Robert Rex, Esq.

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales
Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 150 150 Robert Rex, Esq.

June 9, 2015 Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May…

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