over concentration of securities Archives

Robert Rex, Esq.
July 7, 2015

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 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 July 7, 2015 July 7, 2015

June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable…

Robert Rex, Esq.
June 12, 2015

Greenbacker Renewable Energy Company Investigation

Greenbacker Renewable Energy Company Investigation 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 12, 2015 June 12, 2015

Greenback Renewable Energy is a publicly registered, non-traded limited liability company formed to acquire, construct and operate income-generating renewable energy projects primarily within North America. While the company has made…

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…