Ameriprise Financial Archives

Robert Rex, Esq.
July 10, 2016

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment

Gary L. Glover-Former Ameriprise Broker-Disputes Customer Dispute Over Tenant in Common Investment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 10, 2016 July 10, 2016

July 2016- John Creek, Georgia The FINRA records of Gary L. Glover , a stock broker currently employed by Concorde Investment Services, disclose a prior final customer dispute, 2 pending customer disputes, a prior final financial event…

Robert Rex, Esq.
July 10, 2016

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…

Robert Rex, Esq.
February 15, 2016

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-Plano, Texas

Ameriprise Broker Sanctioned for Sale of BioChemics Scientific Stock-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 February 15, 2016

February 9, 2016- Plano, Texas William Wesley Marshall entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he participated in private securities…

Robert Rex, Esq.
January 12, 2016

Securities Regulators Sanction Ameriprise Broker in Plano, TX

Securities Regulators Sanction Ameriprise Broker in Plano, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 12, 2016 January 12, 2016

December 29 , 2015-Plano, Texas David Lowenthal entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Ameriprise as a…

Robert Rex, Esq.
November 19, 2015

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator

Ameriprise Financial Broker in Plano, TX, Sanctioned by Securities Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 19, 2015 November 19, 2015

September 24, 2015- Plano, Texas John Joseph Kolinofsky, Jr , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while acting…

Robert Rex, Esq.
November 11, 2015

Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry

Dylan Grayson- Merrill Lynch Broker in Plano Texas-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 11, 2015 November 11, 2015

July 9 , 2015- Plano, Texas Dylan Patrick Grayson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

Robert Rex, Esq.
June 3, 2015

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 3, 2015 June 3, 2015

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer. Our Original Post–March 6, 2015, Fair Oaks Ranch, Texas Barry S. Brower, entered into a Letter of…

Robert Rex, Esq.
March 21, 2015

David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2015 March 21, 2015

March 9, 2015- San Antonio, Texas The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…