Undisclosed compensation Archives

Robert Rex, Esq.
May 8, 2023

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 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 May 8, 2023 October 3, 2023

Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

Robert Rex, Esq.
August 24, 2022

Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for Losses? 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 August 24, 2022 September 29, 2023

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

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March 31, 2022

Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC

Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 October 4, 2023

Wynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…

Robert Rex, Esq.
September 28, 2021

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 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 September 28, 2021 September 28, 2021

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

Robert Rex, Esq.
September 6, 2019

Cetera Advisors Charged With Defrauding Retail Clients

Cetera Advisors Charged With Defrauding Retail Clients 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 September 6, 2019 September 6, 2019

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

Robert Rex, Esq.
July 15, 2019

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 15, 2019 July 15, 2019

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…

Robert Rex, Esq.
February 16, 2019

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX 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 February 16, 2019 February 16, 2019

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

Robert Rex, Esq.
May 3, 2017

William Blair and Company to Pay $4.5 Million Fine to Regulator

William Blair and Company to Pay $4.5 Million Fine to Regulator 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 May 3, 2017 May 3, 2017

MAY 2017 According to the U.S. Securities and Exchange Commission, Chicago based brokerage firm William Blair and Company will pay $4.5 million to settle charges that mutual fund assets were…

Robert Rex, Esq.
February 24, 2017

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 24, 2017 February 24, 2017

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) , a former stockbroker who was last employed by BAC Florida Investments, disclose a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…