Churning Archives

Robert Rex, Esq.
June 11, 2019

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York

Craig Bonn-Former Laidlaw & Company Broker-Discloses Customer Disputes- New York 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 11, 2019 June 11, 2019

June 2019 – New York According to publicly available records, a former Laidlaw & Company financial advisor, Craig A. Bonn discloses 1 pending and 2 prior customer disputes. The Financial Industry…

Robert Rex, Esq.
May 13, 2019

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York 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, 2019 May 13, 2019

May 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
April 25, 2019

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-Boca Raton, FL

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer 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 April 25, 2019 April 25, 2019

April 2019 – Little Silver, NJ/Boca Raton, FL According to publicly available records Buckman, Buckman & Reid and Harry John (“Chip”) Buckman , were recently sanctioned by FINRA for failing to supervise…

Robert Rex, Esq.
March 15, 2019

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, 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 15, 2019 February 19, 2024

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Robert Rex, Esq.
March 12, 2019

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. 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 12, 2019 March 12, 2019

March 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…

Robert Rex, Esq.
March 4, 2019

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, 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 March 4, 2019 March 4, 2019

January 2019-Staten Island, NY According to publicly available records Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group, disclose 8 prior customer disputes and a termination from…

Robert Rex, Esq.
January 30, 2019

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,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 January 30, 2019 January 30, 2019

January 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…

Robert Rex, Esq.
November 30, 2018

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, 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 November 30, 2018 November 30, 2018

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) , a stockbroker who was previously registered with Raymond James Financial Services, Inc., disclose a prior customer dispute . The…

Robert Rex, Esq.
October 30, 2018

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 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 30, 2018 October 30, 2018

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute. The Financial Industry…

Robert Rex, Esq.
October 1, 2018

Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York

Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York 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 1, 2018 October 1, 2018

September 2018- New York Gregory Don Patterson , a stockbroker who is currently registered with Four Points Capital Partners, a Texas LLC, (Four Points) discloses a prior customer dispute, a currently pending regulatory…

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