fifth third securities problem Archives

Robert Rex, Esq.
May 9, 2018

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 9, 2018 May 9, 2018

May 2018 According to a FINRA News Release, Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

Robert Rex, Esq.
July 10, 2016

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment

Matthew T. Flynn-L.M. Kohn Broker-Discloses Customer Dispute Over REIT Investment 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 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of Matthew T. Flynn , a stock broker employed by L.M. Kohn & Company, disclose a pending customer arbitration, a prior final financial disclosure and a prior termination. The…