Churning Archives

Robert Rex, Esq.
June 6, 2016

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation

Lennie Freiman-Former Caldwell International Securities Broker-Discloses Regulatory Investigation 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 June 6, 2016 June 6, 2016

San Antonio, Texas According to FINRA records, Lennie S. Freiman, a stockbroker who most recently worked for Caldwell International Securities, but who is not currently registered with any firm, discloses a pending regulatory investigation and…

Robert Rex, Esq.
June 6, 2016

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 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 June 6, 2016 June 6, 2016

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

Robert Rex, Esq.
June 6, 2016

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending Customer Disputes

Frank D. Marinelli-Former J.P. Turner Broker-Discloses Two Pending 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 June 6, 2016 June 6, 2016

Staten Island, New York According to FINRA records, Frank D. Marinelli, a stockbroker who currently works for Southeast Investments, discloses two pending customer disputes, a termination, two pending judgment/liens and two final customer…

Robert Rex, Esq.
May 24, 2016

Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN

Shawn M. McIntyre-Feltl & CO. Broker- Discloses $300K Settlement With Customer-Minneapolis, MN 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 24, 2016 September 29, 2023

Minneapolis, MN According to FINRA records, Shawn M. McIntyre , a broker who has been registered with Feltl & Company since 12/2003 , discloses 3 prior customer complaints and one pending judgment/lien. The Financial…

Robert Rex, Esq.
May 16, 2016

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 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, 2016 May 16, 2016

February 2019-Leawood, KS The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
May 16, 2016

Salvatore Gioe- Former PHX Financial Broker-Barred From Securities Industry

Salvatore Gioe- Former PHX Financial Broker-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 May 16, 2016 May 16, 2016

February 2019- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

Robert Rex, Esq.
May 15, 2016

James R. Blinkhorn-Former Wedbush Securities Broker-Settles Customer Churning Claim for $1.1 Million

James R. Blinkhorn-Former Wedbush Securities Broker-Settles Customer Churning Claim for $1.1 Million 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 15, 2016 May 15, 2016

Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
May 15, 2016

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive 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 May 15, 2016 May 15, 2016

May 2016-Woodbury, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Robert Rex, Esq.
May 14, 2016

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint

Joseph Connolly-Former Alexander Capital Stockbroker-Named in Churning Complaint 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, 2016 May 14, 2016

UPDATE August 2016–Joseph Connolly Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- Staten Island The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

Robert Rex, Esq.
May 14, 2016

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint 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, 2016 May 14, 2016

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…

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