stockbroker negligence Archives

Robert Rex, Esq.
June 17, 2015

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds

First Allied Securities Broker Sanctioned for Sale of Unsuitable Exchange Traded Funds 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 17, 2015 June 17, 2015

April 21, 2015 Daniel Grieco entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he recommended and caused…

Robert Rex, Esq.
June 17, 2015

H.D. Vest Broker Fined/Suspended by Securities Regulators

H.D. Vest Broker Fined/Suspended by Securities Regulators 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 17, 2015 June 17, 2015

June 8, 2015 Susan Cornwall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she accepted $38,000 from a…

Robert Rex, Esq.
June 17, 2015

Newbridge Securities Fined by Regulators for Supervision Deficiencies

Newbridge Securities Fined by Regulators for Supervision Deficiencies 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 17, 2015 June 17, 2015

June 10, 2015 Newbridge Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…

Robert Rex, Esq.
June 17, 2015

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators

Mark A. Bullivant-Former Raymond James Broker- Sanctioned by Securities Regulators 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 17, 2015 June 17, 2015

June 10, 2015 According to FINRA records, Mark Andrew Bullivant, of Fort Myers, Florida, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

Robert Rex, Esq.
June 17, 2015

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales 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 17, 2015 June 17, 2015

June 9, 2015 Bolton Global Capital , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from at least May…

Robert Rex, Esq.
June 17, 2015

Garden State Securities Discloses 21 Regulatory Events

Garden State Securities Discloses 21 Regulatory Events 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 17, 2015 June 17, 2015

Red Bank, NJ UPDATE June 2017-Garden State Securities reports 21 prior regulatory events on their FINRA records, including the following recent matter: 4/2017-Agreed to FINRA censure and a fine of…

Robert Rex, Esq.
June 17, 2015

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens

David James LeDoux-Boca Raton StockBroker Sanctioned For Failing to Report Tax Liens 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 17, 2015 June 17, 2015

June 2, 2015-Boca Raton, FL David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…

Robert Rex, Esq.
June 12, 2015

Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 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

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees. The company…

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 4, 2015

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible Investments

RBC Capital Markets Fined $1 Million Over Sale of Reverse Convertible 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 4, 2015 June 4, 2015

April 23, 2015 RBC Capital Markets , entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from 2008 through 2012 the firm…

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