Blog - Page 232 of 355 - Rex Securities Law

Robert Rex, Esq.
May 21, 2018

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, 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 May 21, 2018 May 21, 2018

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

Robert Rex, Esq.
May 20, 2018

How to Recover Losses on Future Income Payments Losses

How to Recover Losses on Future Income Payments Losses 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 20, 2018 May 20, 2018

July 2018 UPDATE Investors in Future Income Payments LLC (FIP) who made their investment upon the recommendation of a registered stockbroker, a registered investment advisor, accountant or a licensed insurance…

Robert Rex, Esq.
May 17, 2018

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, 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 May 17, 2018 May 17, 2018

January 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
May 16, 2018

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, 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 16, 2018 May 16, 2018

January 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…

Robert Rex, Esq.
May 14, 2018

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO 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, 2018 April 5, 2024

May 2018-Colorado Springs, CO The FINRA records of Sonya D. Camarco , a former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

Robert Rex, Esq.
May 14, 2018

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, NY

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, 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 May 14, 2018 May 14, 2018

August 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…

Robert Rex, Esq.
May 13, 2018

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, 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 13, 2018 May 13, 2018

FEBRUARY 2019-Orlando, Florida The FINRA records of Norman R. Sicard, Jr. , a former stock broker who was last employed by Broker Dealer Financial Services Corp. disclose that he was sanctioned by…

Robert Rex, Esq.
May 11, 2018

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, 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 11, 2018 May 11, 2018

September 2019 -Ft. Worth, Texas The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

Robert Rex, Esq.
May 11, 2018

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, TX

Clyde D. Jones-Titan Securities Broker-Subject of Numerous Viatical Related Customer Complaints-Addison, 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 11, 2018 May 11, 2018

May 2018-Addison, Texas The FINRA records of Clyde D. Jones , a stockbroker who is currently registered with Titan Securities disclose a pending customer dispute, 8 prior final customer disputes and 2…

Robert Rex, Esq.
May 10, 2018

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 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 10, 2018 May 10, 2018

March 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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