Blog - Page 201 of 345 - Rex Securities Law

Robert Rex, Esq.
February 24, 2020

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA 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 February 24, 2020 February 24, 2020

February 2020 -Clive, IA The FINRA records of Rodney David Potratz , a stockbroker who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

Robert Rex, Esq.
February 17, 2020

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, 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 February 17, 2020 February 17, 2020

February 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and…

Robert Rex, Esq.
February 17, 2020

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 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 February 17, 2020 February 17, 2020

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121) , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

Robert Rex, Esq.
February 17, 2020

Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT

Lester Burroughs-Former Lincoln Investment Broker- Discloses 2 Regulatory Events, A Criminal Charge, Pending Customer Disputes, 8 Prior Customer Disputes and a Termination-Torrington, CT 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 February 17, 2020 February 17, 2020

January 2020-Torrington, CT According to publicly available records. Lester William Burroughs (CRD#1413972), a former stockbroker who last worked for Lincoln Investment discloses 2 regulatory events, a criminal charge, a pending…

Robert Rex, Esq.
February 17, 2020

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA 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 February 17, 2020 February 17, 2020

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities…

Robert Rex, Esq.
February 13, 2020

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 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 February 13, 2020 February 13, 2020

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

Robert Rex, Esq.
February 7, 2020

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g February 7, 2020 February 7, 2020

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya , a former stock broker who last worked for Kovack Securities, Inc. , disclose a regulatory event resulting in a bar from the…

Robert Rex, Esq.
February 7, 2020

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ

Steven Netzel-Former Kalos Capital Broker-Discloses Pending $300K Customer Dispute-Sun Lakes, AZ 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 February 7, 2020 February 7, 2020

February 2020 – Sun Lakes, AZ The FINRA records of Steven M. Netzel , a stockbroker who is currently not registered and who previously was employed by Kalos Capital , disclose a currently pending…

Robert Rex, Esq.
February 7, 2020

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 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 February 7, 2020 February 7, 2020

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…

Robert Rex, Esq.
January 30, 2020

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA

E.Kyle Davis-Former Raymond James Broker-Subject of $500K Suit Over Unit Investment Trust-Atlanta, GA 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 January 30, 2020 January 30, 2020

January 2020 – Atlanta, GA The FINRA records of E. Kyle Davis , a broker with Ameriprise FInancial Services discloses 2 prior regulatory events, a pending customer dispute and 3 prior customer disputes.…

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