Blog - Page 227 of 345 - Rex Securities Law

Robert Rex, Esq.
March 26, 2018

Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK

Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK 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, 2018 March 26, 2018

January 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
March 26, 2018

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, 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, 2018 March 26, 2018

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…

Robert Rex, Esq.
March 23, 2018

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, 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 23, 2018 October 3, 2023

Mason Gann Investigation September 2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

Robert Rex, Esq.
March 23, 2018

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, 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 23, 2018 March 23, 2018

MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former employer of former stockbroker Mark Kaplan on behalf of an elderly couple in their…

Robert Rex, Esq.
March 23, 2018

Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ

Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, 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 March 23, 2018 March 23, 2018

Updated November 2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…

Robert Rex, Esq.
March 21, 2018

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana 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, 2018 March 21, 2018

March 2018-Terre Haute, Indiana We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities)…

Robert Rex, Esq.
March 21, 2018

Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , NJ

Gabe Block-Former First Standard Financial/NSC/Oppenheimer Broker-Fined $750K by NJ Regulators-Rumson , 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 March 21, 2018 March 21, 2018

May 2019– Rumson, NJ The FINRA records of Gabriel (Gabe) Block, a former stockbroker who was last employed by First Standard Financial Co., disclose 4 final regulatory events,3 currently pending…

Robert Rex, Esq.
March 21, 2018

Beware of Grandparent Scam-Columbiana, Alabama

Beware of Grandparent Scam-Columbiana, Alabama 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, 2018 January 17, 2024

March 2018-Columbiana, Alabama The Alabaster Reporter reports that the Alabaster Police Department is warning elderly local residents to beware of a scam targeting senior citizens. According to the police a…

Robert Rex, Esq.
March 19, 2018

Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, Texas

Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, 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 March 19, 2018 October 4, 2023

March 2018-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

Robert Rex, Esq.
March 14, 2018

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 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 14, 2018 March 14, 2018

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

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