Finance 500 problem

  • Robert Rex, Esq.

Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales
Geoffrey Schiffrin, Finance 500 Broker Sanctioned for Penny Stock Sales 150 150 Robert Rex, Esq.

December 28, 2015- Delray Beach, Florida Geoffrey Schiffrin entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL
Finance 500 Broker Sanctioned for Penny Stock Violations-Delray Beach, FL 150 150 Robert Rex, Esq.

January 11, 2016 Robert E. Richards entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance 500,…

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  • Robert Rex, Esq.

Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office
Finance 500 Broker Sanctioned by Securities Regulators for Failure to Supervise Florida Office 150 150 Robert Rex, Esq.

December 29 , 2015 Paul J. Savage entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Finance…

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