Tag Archives: Robert Russel Tweed

FINRA Bars CapWest Stockbroker In Hedge Fund Scam

January 10, 2020  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Robert Russel Tweed (also known as Rusty Tweed) of San Marino California a stockbroker formerly employed by CapWest is the subject of a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council (NAC) Decision which affirmed an Extended Hearing Panel Decision in which Tweed was barred from associating with any FINRA member based upon findings of […]

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CapWest Securities Charged With Fraud By SEC

November 01, 2017  |   Posted by :   |   FINRA Securities Arbitration, Securities Fraud   |   0 Comments

Robert Russel Tweed, of San Marino, California, a stockbroker formerly associated with CapWest Securities, Inc., and member of a California based advisory firm, Tweed Financial Services, Inc., has been named in a Complaint brought by Securities and Exchange Commission (SEC), which alleged that Tweed defrauded investors by misrepresenting the performance of an investment fund as […]

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Concorde Investment Services Stockbroker Under Investigation

Robert Russel Tweed, of San Marino, California, a stockbroker formerly registered with Concorde Investment Services, LLC, has been named in an investigation by Financial Industry Regulatory Authority (FINRA) pursuant to the receipt of a Wells Notice regarding Tweed’s conduct. FINRA Public Disclosure reveals that Tweed has been identified in twelve customer initiated investment related disputes […]

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