Robert Rex's  Instablog

Full Index of Posts 152 posts, page 1 of 5

• MAY 2013 FINRA Disciplinary Actions Announced

  Mon, May 20 • finra discipline, finra attorney

• SEC Warns Investors To Be Wary Of Oil & Gas Offerings

  Tue, May 7 • oil gas lawyer, recover investment losses, finra attorney

• Quest Capital Fires Broker For Borrowing $$ From Client

  Tue, Apr 16 • quest capital strategies, borrow from client, finra arbitration

• Texas Certified Financial Planners Disciplined By CFP Board

  Tue, Apr 16 • cfp, texas certified financial planner, cfp discipline

• Certified Financial Planners Board Florida Disciplinary Actions

  Tue, Apr 16 • cfp, certified financial planner, cfp discipline

• FINRA Fines Merrill $1.05 Million And Requires Restitution

  Tue, Apr 16 • arbitration, finra lawyer

• Success Trade Faces Cease And Desist In FINRA Action

  Tue, Apr 16 • finra lawyer, success trade

• FINRA Announces April 2013 Disciplinary Actions

  Tue, Apr 16 • finra discipline, securities fraud lawyer, finra arbitration

• SEC Files Order Vs. Richard P. Sandru

  Thu, Apr 11 • Richard Sandru, lpl financial, cambridge investment research

• FINRA Awards $1.2 Million For Diversified Lending Group Losses

  Tue, Apr 9 • securities fraud attorney, dlg, diversified lending group

• Diversified Lending Group Note Losses May Be Recoverable

  Tue, Apr 9 • dlg, diversified lending group, securities fraud attorney

• Former Next Financial/Capital Financial Services Broker Thomas Redmond Charged With Fraud

  Sat, Apr 6 • finra arbitration, recover stock market losses, securities attorney

• Cetera Continues Expansion With Purchase Of Walnut Street And Tower Square Brokerage Firms

  Fri, Apr 5 • securities fraud attorney, stock broker malpractice, finra arbitration

• Why Are Stock Brokers Being Sued By Their Former Employers?

  Thu, Apr 4 • securities fraud lawyer, finra arbitration attorney

• MML Investors Services Loses $1.1 Million In FINRA Arbitration

  Tue, Apr 2 • mml investor services, steven corzan, massmutual brokerage

• LPL Financial Sued For $8.5 Million

  Mon, Apr 1 • lpl financial, alberto neira, REIT loss recovery

• Regulators Warn About Oil & Gas Investment Scams

  Sat, Mar 23 • nasaa, oil and gas loss, private placement

• FINRA Fines Nobles & Richards On Oil & Gas Private Placements

  Sat, Mar 23 • nobles richards, oil and gas partnership, oil and gas investment

• LPL Financial Face Issues With Securities Regulators As Result Of Rapid Growth

  Fri, Mar 22 • lpl financial, finra, lpl finra problems

• REITs Can Be Traded On Secondary Market

  Fri, Mar 22 • non traded REIT, secondary market, recover REIT loss

• Losses On Direct Invest TIC Investments May Be Recoverable

  Fri, Mar 22 • lpl financial, direct invest, tenant in common investment

• FINRA Awards $290k On Oil & Gas/ Note Private Placements

  Thu, Mar 21 • qa3, private placement, oil gas investment

• Losses On Cabot Tenant In Common Investment?

  Thu, Mar 21 • cabot tic, cabot investment properties, cabot 1031 exchange

• Investors May Be Able To Recover Tenant In Common (TIC) Losses

  Thu, Mar 21 • tenant in common investment, TIC, tic loss

• Tony Thompson Troubles Continue-TNP Suspends Dividend

  Wed, Mar 20 • tnp securities, tony thompson, tnp strategic retail

• Hunter Scott Financial Fined By Florida Office Of Financial Regulation

  Wed, Mar 20 • hunter scott financial, florida office of financial regulation, securities fraud attorney

• Rex Securities Law Investigates Church Bond Sales

  Wed, Mar 20 • g.a.repple, roy carlson, california baptist foundation bond

• Former MML Investors Services/ Park Avenue Securities Broker Barrred For Elder Abuse

  Mon, Mar 18 • theft by stock broker, park avenue securities, MML investors services

• The Tidal Group (Shertz, TX) Hit With FINRA Fine Over Oil & Gas Private Placements

  Mon, Mar 18 • the tidal group, shertz, janice hallett

• Cetera Renames Its Four Broker Dealers

  Mon, Mar 18 • primevest financial services, cetera, genworth financial

• March 2013 FINRA Disciplinary Actions Sanction Stock Brokers And Broker Dealers

  Sun, Mar 17 • finra disciplinary actions, finra broker check, sue my stock broker

• Former LPL/Merrill Broker Greg Campbell Sued By Missouri Securities Regulators

  Wed, Mar 13 • greg campbell, lpl financial, merrill lynch

• Oppenheimer Pays $2.8 Million To Resolve SEC Charges

  Tue, Mar 12 • oppenheimer, oppenheimer global resource private equity fund, cartesian investors-A

• Wells Fargo Broker Banned From Industry By FINRA

  Mon, Mar 11 • adorean boleancu, forgery, stockbroker theft

• FINRA Fines Ameriprise $750,000 For Broker Theft

  Fri, Mar 8 • ameriprise financial, broker theft, broker forgery