Grant & Co. problem Archives

Robert Rex, Esq.
June 10, 2015

Securities Service Network Acquires The Horizon Group

Securities Service Network Acquires The Horizon Group https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 10, 2015 June 10, 2015

June 9, 2015 The Investment News reports that Knoxville, Tennessee-based broker dealer Securities Service Network (SSN) has acquired The Horizons Group, a firm previously affiliated with Cadaret, Grant & Co.…

Robert Rex, Esq.
June 5, 2015

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments

Cadaret Grant Broker Suspended/Fined by Regulators for Over-concentration of REIT Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 5, 2015 June 5, 2015

April 9, 2015-Point Pleasant, NJ Douglas William Finlay, Jr. , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that effected…