Concentrated Positions

  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

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  • Robert Rex, Esq.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

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…

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  • Robert Rex, Esq.

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments
Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments 150 150 Robert Rex, Esq.

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr.  , entered into a  Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…

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