Steepener Notes Archives

Robert Rex, Esq.
June 2, 2017

McNally Financial Services Discloses Regulatory Sanction Over Sale of Steepener Investments-San Antonio, TX

McNally Financial Services Discloses Regulatory Sanction Over Sale of Steepener Investments-San Antonio, TX 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 2, 2017 June 2, 2017

San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services (CRD#121196) , discloses two prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

Robert Rex, Esq.
June 17, 2016

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration

Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 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 17, 2016 June 17, 2016

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…