Blog - Page 202 of 345 - Rex Securities Law

Robert Rex, Esq.
January 30, 2020

Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp.

Rex Securities Law Investment Fraud Attorney Investigates Bill Braun formerly with National Securities Corp. 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 December 14, 2023

Last Updated: December 2023 (Boca Raton, FL) Bill Braun Investigation Summary Here’s what you need to know about Boca Raton, FL, stockbroker Bill Braun: Name: Mr. William John Braun Current…

Robert Rex, Esq.
January 30, 2020

Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, NJ

Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, 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 January 30, 2020 January 30, 2020

January 2020-Red Bank, NJ According to publicly available records of Philip Joseph Sparacino (CRD#3243960) , a former stockbroker who last worked for First Standard Financial, discloses 2 regulatory events, a pending…

Robert Rex, Esq.
January 30, 2020

Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning 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 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

Robert Rex, Esq.
January 29, 2020

Bart Bohrer-Former Captital Financial Services Broker-Subject of $900,000 Customer Disputes-Minot, N. Dakota

Bart Bohrer-Former Captital Financial Services Broker-Subject of $900,000 Customer Disputes-Minot, N. Dakota 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 29, 2020 January 29, 2020

January 2020-Minot, N. Dakota The FINRA records of Bart J. Bohrer , a broker who is currently employed by Calton & Associates disclose 3 pending customer disputes which seek, cumulatively, about…

Robert Rex, Esq.
January 28, 2020

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 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 28, 2020 August 25, 2025

THIS POST HAS BEEN UPDATE-Follow Link January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) , a former stockbroker who last worked for Cabot Lodge Securities,…

Robert Rex, Esq.
January 28, 2020

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 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 28, 2020 January 28, 2020

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by Centaurus Financial, Inc., disclose 2 pending customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
January 14, 2020

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL

Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, 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 January 14, 2020 January 14, 2020

January 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently employed by Garden State Securities, disclose a pending customer dispute, 4 prior customer disputes and…

Robert Rex, Esq.
January 14, 2020

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA

Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 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 14, 2020 January 14, 2020

January 2020- Fresno, CA The FINRA records of Kendall J. Groom , a broker previously employed by Independent Financial Group , disclose a regulatory event resulting in his bar from the securities industry. The Financial Industry…

Robert Rex, Esq.
January 14, 2020

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico 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 14, 2020 January 14, 2020

January 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) , a stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith disclose a pending customer dispute…

Robert Rex, Esq.
January 9, 2020

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA

Michael S. Sims-Former Wedbush Securities Broker- Discloses 4 Prior Customer Disputes and 1 Pending Customer Dispute- Santa Rosa, CA 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 9, 2020 January 9, 2020

January 2020 – Santa Rosa, CA The FINRA records of Michael Stevan Sims, a stockbroker who was last employed by Wedbush Securities, Inc., disclose 4 prior customer disputes. The Financial Industry Regulatory Authority…

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