Churning Archives

Robert Rex, Esq.
November 23, 2015

Denny Darmodihardjo, Former Rockwell Global Capital Broker, Sanctioned for Excessive Trading

Denny Darmodihardjo, Former Rockwell Global Capital Broker, Sanctioned for Excessive Trading https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 23, 2015 November 23, 2015

October 14, 2015- Fort Lauderdale, Florida Denny P. Darmodihardjo , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from September 2009-July…

Robert Rex, Esq.
November 19, 2015

Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators

Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 19, 2015 April 11, 2024

UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…

Robert Rex, Esq.
November 18, 2015

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts

Roman T. Luckey- Former Newport Coast Broker Sanctioned for Failing to Detect Churning and Abuse of Customer Accounts https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g November 18, 2015 November 18, 2015

August 14, 2015- Long Beach, CA Roman Tyler Luckey, submitted an Offer of Settlement to the Financial Industry Regulatory Authority (FINRA) to resolve allegations that as Manager of Trading for Newport Coast Securities…

Robert Rex, Esq.
September 16, 2015

Global Arena Capital Brokers Sanctioned by Securities Regulators

Global Arena Capital Brokers Sanctioned by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g September 16, 2015 September 16, 2015

September 15, 2015- Washington, D.C. In a news release the Financial Industry Regulatory Authority (FINRA) announced finding numerous securities violations, including making misleading sales pitches and account churning at the…

Robert Rex, Esq.
July 16, 2015

Cape Securities Fined $125K by Securities Regulators

Cape Securities Fined $125K by Securities Regulators https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g July 16, 2015 July 16, 2015

May 5, 2015 Cape Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that: from 2/2012-9/2012 Cape Securities failed…

Robert Rex, Esq.
June 26, 2015

South Carolina Regulators Seek to Take Securities License of Mark Hotton

South Carolina Regulators Seek to Take Securities License of Mark Hotton https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 26, 2015 June 26, 2015

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

Robert Rex, Esq.
April 23, 2015

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission

Bruce Schoendorf-Houston Stock Broker- Suspended for Trading Account Without Client’s Permission https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g April 23, 2015 April 23, 2015

April 8, 2015- Austin, Texas The Texas State Securities Board (TSSB) suspended Bruce William Schoendorf, an investment adviser of Hurwitz Associates, for ten days for exercising discretion in a client account…

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