• Robert Rex, Esq.

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX
Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Robert Rex, Esq.

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

read more
  • Robert Rex, Esq.

Ascendiant Capital Markets Sanctioned by Securities Regulator
Ascendiant Capital Markets Sanctioned by Securities Regulator 150 150 Robert Rex, Esq.

June 25, 2015 Ascendiant Capital Markets entered into an Order Accepting Offer of Settlement  (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the company violated FINRA By-Laws,…

read more
  • Robert Rex, Esq.

Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions
Ohio Division of Securities Issues 2015 Third Quarter Bulletin-Civil & Criminal Securities Actions 150 150 Robert Rex, Esq.

July 6, 2015- Columbus, Ohio The Ohio Division of Securities publishes a Securities Bulletin quarterly summarizing recent changes to securities rules and laws in the State of Ohio, reporting on…

read more
  • Robert Rex, Esq.

Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable
Losses on F-Squared Investments (Good Harbor Financial US Tactical Core & AlphaSector Allocator Select) May be Recoverable 150 150 Robert Rex, Esq.

July 8, 2015 F-Squared Investments, Inc, an exchange-traded fund manager,  filed for Chapter 11 bankruptcy protection in the U.S. Bankruptcy Court for the District of Delaware. In December of 2014,…

read more
  • Robert Rex, Esq.

FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million
FINRA Arbitrators Order BNP Paribas to Pay Customer over $16 Million 150 150 Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence
Dougherty & Company Assessed $250K Fine for Failure to Perform Due Diligence 150 150 Robert Rex, Esq.

June 18, 2015 Dougherty & Company, a broker dealer and investment adviser with its principal office located in Minneapolis, Minnesota,  consented to the entry of an Order Instituting Administrative and…

read more
  • Robert Rex, Esq.

Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents
Former Thrivent Investment Management Broker Sanctioned for Falsifying Annuity Documents 150 150 Robert Rex, Esq.

June 24, 2015 Bruce R. Geiger entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations by FINRA that he had violated…

read more
  • Robert Rex, Esq.

South Carolina Regulators Seek to Take Securities License of Mark Hotton
South Carolina Regulators Seek to Take Securities License of Mark Hotton 150 150 Robert Rex, Esq.

June 23, 2015- Columbia, South Carolina The Securities Commissioner for South Carolina filed a Rule to Show Cause seeking to permanently ban Mark Christopher Hotton from the securities industry. In 2013…

read more
  • Robert Rex, Esq.

Allstate Financial Services Broker Barred For Falsifying Insurance Applications
Allstate Financial Services Broker Barred For Falsifying Insurance Applications 150 150 Robert Rex, Esq.

June 23, 2015 Michael G. Seidel  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  submitted falsified applications…

read more
Enter your
text here

You cannot copy content of this page