Failure to Deliver Prospectus Archives

Robert Rex, Esq.
March 23, 2018

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL 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 March 23, 2018 March 23, 2018

MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former employer of former stockbroker Mark Kaplan on behalf of an elderly couple in their…

Robert Rex, Esq.
November 11, 2015

First Southwest Company Sanctioned by Securities Regulators

First Southwest Company 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 11, 2015 November 11, 2015

First Southwest Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from August 8, 2012 through April 26,…

Robert Rex, Esq.
June 17, 2015

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 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 17, 2015 June 17, 2015

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…

Featured Investigations

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

First Southwest Company Sanctioned by Securities Regulators

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales