Blog - Page 165 of 347 - Rex Securities Law

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August 15, 2022

Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL

Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 15, 2022 October 5, 2023

Micheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records, Michael Peter Sloan, a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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August 15, 2022

Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA

Neal Nakagiri – Former NPB Financial CEO-Subject of Customer Suits – Burbank, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 15, 2022 September 30, 2023

Neal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of Neal Nakagiri, a broker formerly with NPB Financial Group where he was also President/ CEO, discloses a 5 prior customer disputes…

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August 15, 2022

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 15, 2022 October 4, 2023

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records, Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA, discloses 8 prior customer complaints, 2 pending…

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August 15, 2022

LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ

LeFranc J. Joseph – David Lerner Broker-Subject of Customer Suit Over Energy 11 – Lawrenceville, NJ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 15, 2022 October 4, 2023

LeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of LeFranc Junior Joseph, a broker with David Lerner Associates , discloses a pending customer dispute.…

Robert Rex, Esq.
August 15, 2022

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 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 August 15, 2022 October 3, 2023

Shadi Barakat Investigation August 2022 -New York The FINRA records of Shadi Taysir Barakat, a stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events, a currently pending customer dispute, 3…

Robert Rex, Esq.
August 8, 2022

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 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 August 8, 2022 September 29, 2023

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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July 13, 2022

Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX

Anthony Bookman- Former Pickwick Capital Broker-Barred From Securities Industry by Regulators -Dallas, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g July 13, 2022 October 4, 2023

Anthony Bookman Investigation July 2022-Dallas, TX According to publicly available records Anthony Rashad Bookman, a former broker who last worked for Pickwick Capital Partners & Seaport Global Securities, discloses a final regulatory…

Robert Rex, Esq.
July 13, 2022

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX

Bob Flournoy/ Energy Investment Partners Sanctioned by Texas Securities Regulator For Maple Grove 2 Prospect Sales-Austin, TX 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 July 13, 2022 September 30, 2023

Bob Flournoy/Energy Investment Partners Sanctioned for Maple Grove 2 Prospect Sales July 2022- Dallas, TX On January 31, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Energy Investment Partners…

Robert Rex, Esq.
July 13, 2022

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX

Todd Prince Sanctioned by Texas Securities Regulator For Beeler 2H Joint Venture Sales-Austin, TX 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 July 13, 2022 September 29, 2023

Todd Prince Sanctioned for Sales of Beeler 2H Joint Venture Sales July 2022- Austin, TX On April 21, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Todd Prince. According…

Robert Rex, Esq.
July 13, 2022

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX

Perry Abbonizio Sanctioned by Texas Securities Regulator-Austin, TX 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 July 13, 2022 October 3, 2023

Perry Abbonizio Sanctioned by Texas Securities Regulator July 2022- Austin, TX On June 23, 2022, the Texas State Securities Board (TSSB) entered an order sanctioning Perry Abbonizio. In February, 2020, the Texas…

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