securities america problem

  • Robert Rex, Esq.

Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL
Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Robert Rex, Esq.

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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  • Robert Rex, Esq.

Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Robert Rex, Esq.

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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  • Robert Rex, Esq.

Former Securities America Broker Sanctioned by Securities Regulator
Former Securities America Broker Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

August 25, 2015- Redondo Beach, CA Derek Lee Miller , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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