Blog - Page 208 of 345 - Rex Securities Law

Robert Rex, Esq.
June 11, 2019

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York 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 June 11, 2019 June 11, 2019

June 2019 – New York According to publicly available records, a former Laidlaw & Company financial advisor, Craig A. Bonn discloses 1 pending and 2 prior customer disputes. The Financial Industry…

Robert Rex, Esq.
May 27, 2019

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, 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 May 27, 2019 February 19, 2024

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…

Robert Rex, Esq.
May 22, 2019

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas

Maria Hendershott-Raymond James Financial Advisor-Discloses Numerous Customer Suits-Houston, Texas 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 May 22, 2019 May 22, 2019

October 2019- Houston, Texas According to publicly available records Maria E. Hendershott (CRD#818681) , a stockbroker who is currently registered Raymond James & Associates, disclose 1 pending and 4 final customer…

Robert Rex, Esq.
May 18, 2019

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, 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 May 18, 2019 May 18, 2019

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor , a former stockbroker who last worked for Raymond James Financial , disclose a recent regulatory event…

Robert Rex, Esq.
May 15, 2019

Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL

Robert Batchen-Former Uhlmann Price Securities Broker-Discloses a Regulatory Event, Customer Suits and Terminations from Employment-Chicago, IL 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 May 15, 2019 May 15, 2019

June 2019 – Skokie, IL According to publicly available records, former Uhlmann Price Securities broker Robert James Batchen discloses prior regulatory events, 4 prior customer disputes and 2 terminations from…

Robert Rex, Esq.
May 14, 2019

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas 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 May 14, 2019 May 14, 2019

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research financial advisor Anselmo Contreras, Jr. discloses a recent regulatory event resulting in his bar from the…

Robert Rex, Esq.
May 13, 2019

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York 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 May 13, 2019 May 13, 2019

April 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…

Robert Rex, Esq.
May 13, 2019

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York 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 May 13, 2019 May 13, 2019

May 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
May 13, 2019

Laidlaw & Company Discloses Regulatory Matters & Customer Disputes

Laidlaw & Company Discloses Regulatory Matters & Customer Disputes 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 May 13, 2019 May 13, 2019

May 2019 According to publicly available records Laidlaw & Company (UK) Ltd. , a FINRA registered broker dealer discloses 5 prior regulatory events and 2 prior customer arbitrations. The Financial…

Robert Rex, Esq.
May 13, 2019

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery

Cardinal Energy Group Investors May Have Been Misled & Have Claims for Recovery 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 May 13, 2019 May 13, 2019

May 2019 – Dallas, Texas In March 2019, the Securities and Exchange Commission charged Texas based Cardinal Energy Group (CEGX) and former CEO Timothy W. Crawford with fraudulently concealing the…

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