Net Capital Violation Archives

Robert Rex, Esq.
June 22, 2015

Alluvion Securities Hit With Net Capital Violation Suit by Regulators

Alluvion Securities Hit With Net Capital Violation Suit by 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2015 June 22, 2015

June 19, 2015 FINRA Department of Enforcement filed Disciplinary Proceeding No 2013035347704 against Alluvion Securities, LLC, Lowell S. Wilson and John S. Jumper alleging net capital violations, supervisory violations and…