Source Capital Group problem Archives

Robert Rex, Esq.
April 10, 2017

Source Capital Group Discloses Customer Disputes and Regulatory Sanctions

Source Capital Group Discloses Customer Disputes and Regulatory Sanctions https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 10, 2017 April 10, 2017

March 2017- Westport, CT According to publicly available records Source Capital Group, (CRD# 36719) , a broker dealer with headquarters in Westport, CT, discloses 8 prior final regulatory events, one regulatory event that…

Robert Rex, Esq.
February 24, 2017

Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL

Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 24, 2017 February 24, 2017

December 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) , a stockbroker who is currently under suspension who was last employed by Source Capital Group, disclose a recent regulatory…

Robert Rex, Esq.
March 29, 2016

Vincent Pereira- Private Placement Customer Complaints Settled

Vincent Pereira- Private Placement Customer Complaints Settled https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 29, 2016 March 29, 2016

According to FINRA records, stockbroker Vincent Louis Pereira currently is employed by Alexander Capital, where he has been registered since 2/2015. His previous registrations include: Blackbook Capital …

Robert Rex, Esq.
January 21, 2016

James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator

James Nixon –Former Bridge Capital Associates/ Source Capital Group Stock Broker — Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 21, 2016 January 21, 2016

January 8, 2016- Rowayton, CT James J. Nixon entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Bridge…

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/fdf83cd1ed57a0f07270ad756fbea2eb?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…