Failure to Supervise Archives

Robert Rex, Esq.
May 16, 2018

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, 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 May 16, 2018 May 16, 2018

January 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…

Robert Rex, Esq.
May 14, 2018

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, NY

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-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 May 14, 2018 May 14, 2018

August 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…

Robert Rex, Esq.
May 13, 2018

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, 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 May 13, 2018 May 13, 2018

FEBRUARY 2019-Orlando, Florida The FINRA records of Norman R. Sicard, Jr. , a former stock broker who was last employed by Broker Dealer Financial Services Corp. disclose that he was sanctioned by…

Robert Rex, Esq.
May 10, 2018

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 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 10, 2018 May 10, 2018

March 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

Robert Rex, Esq.
May 10, 2018

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, 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 May 10, 2018 May 10, 2018

May 2018- Friendswood, TX According to FINRA records, Thomas “Tom” A. Till , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

Robert Rex, Esq.
May 10, 2018

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, 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 10, 2018 May 10, 2018

May 2018- Otsego, MN According to FINRA records, Bradley J. Freimark , a stock broker who is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

Robert Rex, Esq.
May 9, 2018

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales

Fifth Third Securities Hit With $6M Regulatory Sanction Over Variable Annuity Sales 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 9, 2018 May 9, 2018

May 2018 According to a FINRA News Release, Fifth Third Securities was fined $4 million and required to pay $2 million in restitution for failing to appropriately consider and accurately describe the…

Robert Rex, Esq.
May 3, 2018

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g May 3, 2018 May 3, 2018

May 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…

Robert Rex, Esq.
May 3, 2018

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events

Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 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 3, 2018 May 3, 2018

May 2018 —According to FINRA records, stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates), discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

Robert Rex, Esq.
April 23, 2018

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, 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 April 23, 2018 April 23, 2018

May 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation. If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…

Featured Investigations