Blog - Page 317 of 361 - Rex Securities Law

Robert Rex, Esq.
March 30, 2016

James N. Forster Discharged From Joseph Gunnar & Co.

James N. Forster Discharged From Joseph Gunnar & 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 March 30, 2016 March 30, 2016

March 23, 2016, NYC According to his official FINRA records, James N. Forster was discharged from Joseph Gunnar & Co. in December, 2015, for “wrongful taking of personal items”. Forster…

Robert Rex, Esq.
March 30, 2016

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 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 30, 2016 March 30, 2016

March 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…

Robert Rex, Esq.
March 30, 2016

James Hopkins, Dawson James Securities Broker, Named in Customer Dispute

James Hopkins, Dawson James Securities Broker, Named in Customer Dispute 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 30, 2016 April 11, 2024

James C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…

Robert Rex, Esq.
March 30, 2016

Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland Texas

Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland 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 30, 2016 March 30, 2016

March 29, 2016-Garland, Texas The Texas State Securities Board (TSSB) announced that Derek A. Nelson was sentenced to 19 years in connection with a $37 million fraud he operated selling…

Robert Rex, Esq.
March 30, 2016

Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL

Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,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 30, 2016 April 11, 2024

Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…

Robert Rex, Esq.
March 30, 2016

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of 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 March 30, 2016 March 30, 2016

UPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record. FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…

Robert Rex, Esq.
March 30, 2016

Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme

Charles Caleb Fackrell-Former LPL Financial Broker-Sentenced for Ponzi Scheme 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 30, 2016 April 11, 2024

UPDATE ON CHARLES FACKRELL-December 2016-Charles Fackrell, 37, of Booneville, N. Carolina was sentenced to 63 months in jail according to the U.S. Attorney’s Office for operating a $1.4 million Ponzi…

Robert Rex, Esq.
March 30, 2016

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc.

Carlo W. Corzine Settles Customer Complaint- Tactical Air Defense Inc. 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 30, 2016 March 30, 2016

March 27, 2016 FINRA records report that Carlo W. Corzine, who is currently registered with Dawson James Securities in Boca Raton, FL, recently settled a customer dispute. The complaint alleged…

Robert Rex, Esq.
March 29, 2016

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry 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 29, 2016 March 29, 2016

August 20, 2014- El Paso, Texas Jose M. Canales , a broker with Lincoln Financial Securities Corporation, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority…

Robert Rex, Esq.
March 28, 2016

G A Repple Broker Frederick Bremer Settles “Church Bond” Case

G A Repple Broker Frederick Bremer Settles “Church Bond” Case 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, 2016 March 28, 2016

March 28, 2016-Casselberry, Florida According to FINRA records, financial advisor Frederick P. Bremer, who has been registered with G.A. Repple & Co. since January 1998 , recently settled a complaint with a customer…

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