mutual fund switching Archives

Robert Rex, Esq.
August 5, 2016

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute 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 August 5, 2016 August 5, 2016

August 2016-Orlando / The Villages, Florida The FINRA records of George Sefanou , a stock broker who is currently employed by Edward Jones , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
January 19, 2016

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker

Unsuitable Mutual Fund Switching Leads to Fine/Suspension for Stuart, FL, Stock Broker 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 January 19, 2016 January 19, 2016

January 6, 2016- Stuart, Florida Jeffrey Davidson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with American Portfolio…