Blog - Page 210 of 345 - Rex Securities Law

Robert Rex, Esq.
March 28, 2019

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV 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 March 28, 2019 March 28, 2019

March 2019 – Incline Village, NV According to publicly available records Richard Jay Bernstein (CRD# 1113777) , a registered stockbroker currently employed by Wells Fargo Clearing Services, disclose 2 pending and 6…

Robert Rex, Esq.
March 26, 2019

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, 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 March 26, 2019 March 26, 2019

March 2019- Frisco, Texas We are currently investigating former NY Life Securities financial advisor Judith Adele Johnston . According to publicly available records , Judith Johnston , discloses a recent regulatory matter,…

Robert Rex, Esq.
March 21, 2019

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, 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 March 21, 2019 March 21, 2019

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

Robert Rex, Esq.
March 15, 2019

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, 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 March 15, 2019 February 19, 2024

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Robert Rex, Esq.
March 12, 2019

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. 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 March 12, 2019 March 12, 2019

March 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…

Robert Rex, Esq.
March 8, 2019

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, 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 March 8, 2019 March 8, 2019

March 2019 – Danbury, CT According to publicly available records Robert Eugene Berg (CRD#1218879) , a stockbroker who is currently registered with Summit Brokerage Services, disclose 1 pending and 2 prior customer disputes.…

Robert Rex, Esq.
March 4, 2019

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY 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 March 4, 2019 March 4, 2019

January 2019-Staten Island, NY According to publicly available records Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group, disclose 8 prior customer disputes and a termination from…

Robert Rex, Esq.
March 4, 2019

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 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 March 4, 2019 March 4, 2019

April 2020 – Collegeville, PA According to publicly available records Richard Michael Wesselt (CRD# 2195569) , a registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

Robert Rex, Esq.
March 4, 2019

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, CA

Bill Council-Raymond James Broker- Discloses 3 Pending Customer Complaints-San Diego, 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 March 4, 2019 March 4, 2019

March 2019 – San Diego, CA According to publicly available records William (“Bill”) Michael Council (CRD#848504) , a stockbroker who is currently registered with Raymond James & Associates, Inc., disclose 3 pending customer disputes…

Robert Rex, Esq.
February 28, 2019

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, FL

Spartan Securities Group Named in SEC Regulatory Action Over Penny Stocks-Clearwater, 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 28, 2019 February 28, 2019

February 2019-Tampa, FL The U.S. Securities & Exchange Commission (SEC) issued a litigation release on 2/21/2019 charging Spartan Securities Group, Ltd. , Island Capital Management, LLC, Carl E. Dilley, Micah…

Featured Investigations