March 3, 2015 – Watertown, NY
Brian Scott Exford entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for on the record testimony in connection with a FINRA investigation to determine whether, while associated with IBN Financial, he had engaged in a private securities transaction.
Exford was barred from association with any FINRA member in any capacity
According to FINRA records, Exford was registered with IBN Financial Services from 8/2009-10/2012.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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