Tag Archives: Essex Securities LLC

Essex Securities Stockbroker Sanctioned By State Regulator

June 08, 2020  |   Posted by :   |   Investment and Regulatory News, Securities Fraud   |   Comments Off on Essex Securities Stockbroker Sanctioned By State Regulator

James Edmond Moniz (also known as James E. McGowan-Moniz) of West Palm Beach Florida a stockbroker formerly associated with Essex Securities LLC has been sanctioned by the Massachusetts Securities Division based in part upon findings that he has been subject of customer disputes and that he has been sanctioned by the regulator as well as […]

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FINRA Censures Essex Securities For Supervisory Failure

March 07, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Essex Securities LLC is a brokerage firm headquartered in Massachusetts that has been censured and fined twenty-five thousand dollars by Financial Industry Regulatory Authority (FINRA) based in part on consenting to findings that the firm neglected to adequately supervise outside business activities that its registered representatives engaged in during the time that they were employed […]

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Regulator Sanctions Signator Stockbroker For Complaints

November 01, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

James Edmond Moniz of Brainless, Massachusetts, a stockbroker formerly registered with Signator Investors, Inc., has become the subject of heightened supervision requirements imposed by the Secretary of State of the Commonwealth of Massachusetts, Securities Division, according to a Consent Order containing findings that Moniz accumulated nine customer complaints, FINRA rule infractions and a civil judicial […]

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Essex Securities Stockbroker Barred By Regulator

Lawrence M. Thomas, of North Attleboro, Massachusetts, a stockbroker formerly registered with Essex Securities LLC, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that he made improper investment recommendations to customers. Letter […]

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