• Robert Rex, Esq.

Investment Planners Inc. Sanctioned Over Variable Annuity Charges
Investment Planners Inc. Sanctioned Over Variable Annuity Charges 150 150 Robert Rex, Esq.

October 1,  2015- Decatur, Illinois Investment Planners, Inc.  , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between April 2013…

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  • 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.

National Planning Corp. Fined by Regulators for Excessive Sales Charges
National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

J.P. Turner Sanctioned For Excessive Sales Charges
J.P. Turner Sanctioned For Excessive Sales Charges 150 150 Robert Rex, Esq.

August 25, 2015- Atlanta, Georgia J.P. Turner & Company , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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  • Robert Rex, Esq.

FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments
FEF Distributors and First Eagle Investment Management Charged by SEC with Making Improper Payments 150 150 Robert Rex, Esq.

September 21 2015- Washington DC First Eagle Investment Management and FEF Distributors was charged by the US Securities and Exchange Commission with improperly using mutual fund assets to pay for…

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  • Robert Rex, Esq.

Global Arena Capital -FINRA Cancels Registraion
Global Arena Capital -FINRA Cancels Registraion 150 150 Robert Rex, Esq.

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees.  The company…

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