finra arbitration

  • Robert Rex, Esq.

Securities Arbitration vs. Securities Mediation
Securities Arbitration vs. Securities Mediation 150 150 Robert Rex, Esq.

  The Financial Industry Regulatory Authority (FINRA) provides the following explanation of the difference between Arbitration and Mediation: “Overview Arbitration and mediation are two distinct ways of resolving securities and…

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  • Robert Rex, Esq.

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales
Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Robert Rex, Esq.

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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  • Robert Rex, Esq.

Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website in April 2013, is a historical record of individuals from Pennsylvania who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Robert J. read more
  • Robert Rex, Esq.

New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
New Jersey Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Robert Rex, Esq.
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website, is a historical record of individuals from New Jersey who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Stuart Albert (Marlton) Michael R. read more
  • Robert Rex, Esq.

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas
Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas 150 150 Robert Rex, Esq.

SEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  March 2018-Rowlett, Texas The…

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  • Robert Rex, Esq.

Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account
Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Robert Rex, Esq.

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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