Summit Brokerage Services problem Archives

Robert Rex, Esq.
March 8, 2016

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales

Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 8, 2016 March 8, 2016

December 2, 2015- Boca Raton, FL Summit Brokerage Services entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

Robert Rex, Esq.
January 11, 2016

Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities Fraud 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 11, 2016 January 11, 2016

1/8/2016- Cleveland, Ohio Larry Werbel, 67, of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

Robert Rex, Esq.
December 1, 2015

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer

Summit Brokerage Services Broker Sanctioned for Borrowing from Customer 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 December 1, 2015 April 11, 2024

October 15, 2015 – Fredericksburg, VA Jonathan D. Freeze , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000…

Robert Rex, Esq.
August 5, 2015

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services

J.P. Turner to Shut Down, Most Brokers Headed to Summit Brokerage Services 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 August 5, 2015 August 5, 2015

July 30, 2015 The Investment News reports that brokerage firm J.P. Turner is being closed down and that about half of its 300 brokers have been invited to join Summit…

Robert Rex, Esq.
July 17, 2015

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, FL

Kelly R. Brantley-Former Summit Brokerage Services Broker-Sanctioned by Regulator – Nokomis, 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 July 17, 2015 July 17, 2015

July 14, 2015-Nokomis, Florida Kelly R. Brantley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she had received…