Discretionary Trading Archives

Robert Rex, Esq.
March 24, 2016

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia 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 24, 2016 March 24, 2016

MARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…

Robert Rex, Esq.
March 22, 2016

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,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 22, 2016 March 22, 2016

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

Robert Rex, Esq.
March 15, 2016

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL

Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, 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, 2016 March 15, 2016

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

Robert Rex, Esq.
March 13, 2016

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia 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 13, 2016 March 13, 2016

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders, of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

Robert Rex, Esq.
February 24, 2016

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 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 February 24, 2016 February 24, 2016

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

Robert Rex, Esq.
February 22, 2016

Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC 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 February 22, 2016 February 22, 2016

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

Robert Rex, Esq.
February 15, 2016

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, 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 February 15, 2016 February 15, 2016

January 29, 2016- Ocala, FL James P. Hilty, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

Robert Rex, Esq.
January 21, 2016

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading

Waddell & Reed Broker Discharged and 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 January 21, 2016 January 21, 2016

January 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…

Robert Rex, Esq.
January 21, 2016

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 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 21, 2016 January 21, 2016

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

Robert Rex, Esq.
January 12, 2016

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-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 January 12, 2016 January 12, 2016

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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