Churning Archives

Robert Rex, Esq.
January 30, 2020

Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for 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 January 30, 2020 January 30, 2020

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

Robert Rex, Esq.
January 8, 2020

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL. 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 January 8, 2020 January 8, 2020

January 2020 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

Robert Rex, Esq.
January 2, 2020

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-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 January 2, 2020 January 2, 2020

January 2020 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by Worden Capital Management , disclose a pending customer dispute and 3 prior customer disputes. The…

Robert Rex, Esq.
January 2, 2020

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,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 January 2, 2020 January 2, 2020

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…

Robert Rex, Esq.
November 11, 2019

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Management Broker-Discloses Customer Disputes-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 November 11, 2019 November 11, 2019

November 2019 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by Worden Capital Management , disclose a pending customer dispute and 3 prior customer disputes. The…

Robert Rex, Esq.
October 11, 2019

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, NY

Erik Pica-Joseph Stone Capital Broker-Discloses Customer Disputes & FINRA Investigation- New York, 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 October 11, 2019 October 11, 2019

October 2019 – New York, New York The FINRA records of Erik Patrick Pica , a stockbroker who is employed by Joseph Stone Capital , disclose 3 pending customer dispute, 4 prior customer disputes and a…

Robert Rex, Esq.
September 21, 2019

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 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 September 21, 2019 September 21, 2019

September 2019 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

Robert Rex, Esq.
July 24, 2019

Leonard Gallick, Jr.- Worden Capital Management Broker-Discloses Customer Suits-New York, NY

Leonard Gallick, Jr.- Worden Capital Management Broker-Discloses Customer Suits-New York, 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 July 24, 2019 July 24, 2019

July 2019, New York, NY According to publicly available records Leonard Vincent Gallick, Jr. (CRD#2593465) , a stockbroker currently registered with Worden Capital Management , disclose 6 prior customer disputes and 1…

Robert Rex, Esq.
July 15, 2019

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC

Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC 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 July 15, 2019 July 15, 2019

July 2019-New York, NY The FINRA records of Michael Salvatore Stanton, a financial advisor employed by Worden Capital Management disclose 2 regulatory events, 3 prior customer disputes, 1 pending customer dispute, a…

Robert Rex, Esq.
July 15, 2019

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-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 July 15, 2019 July 15, 2019

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…

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