Failure to Supervise Archives

Robert Rex, Esq.
May 19, 2016

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales

Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT 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 19, 2016 May 19, 2016

Culver CIty, CA According to FINRA records, Jason B. Vanclef, a broker who is registered with VFG Securities , discloses that he is named in a FINRA complaint alleging that in connection with…

Robert Rex, Esq.
May 19, 2016

Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry

Miguel A. Hernandez-Former Thrivent StockBroker-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 19, 2016 May 19, 2016

El Paso, Texas According to FINRA records, Miguel A. Hernandez , a broker who was formerly registered with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

Robert Rex, Esq.
May 18, 2016

Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration

Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration 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 18, 2016 May 18, 2016

JUNE 2018 UPDATE-IN 5/2016 a FINRA arbitration panel awarded damages of $267,890 to the Barrett & Company customer that filed FINRA Case 14-0755 discussed below. ORIGINAL POST MAY 2016 Providence,…

Robert Rex, Esq.
May 17, 2016

Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration

Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration 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 17, 2016 May 17, 2016

New York According to FINRA records, Ralph (Brud) Worthington IV, a broker who formerly worked for Gilford Securities , discloses 7 customer disputes, 6 of which have been finalized and one of…

Robert Rex, Esq.
May 16, 2016

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-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 May 16, 2016 May 16, 2016

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

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 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

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ 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

Tinton Falls, NJ 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 14, 2016

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration 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

May 2016-Farmingdale, 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

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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