Finra Investigation of Stockbroker Archives

Robert Rex, Esq.
November 13, 2017

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow 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 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Robert Rex, Esq.
October 26, 2017

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, 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 October 26, 2017 October 26, 2017

October 2017 – Jacksonville, FL According to publicly available records William H. Merriam IV, (CRD#5222110) , a former stockbroker who was last employed by Merrill Lynch , disclose a prior regulatory event and a termination…

Robert Rex, Esq.
October 25, 2017

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, TX

Tye Williams-Former NEXT Financial Broker-Subject of $1M Customer Dispute-Frisco, 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 October 25, 2017 October 25, 2017

UPDATE OCTOBER 2017– Frisco, TX Former NEXT Financial Group stockbroker, Tye Williams was barred from the securities industry by FINRA for failing to cooperate with regulatory investigation alleging theft of $1M, making…

Robert Rex, Esq.
October 23, 2017

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, TX

Investigation UPDATE-Bill Hightower Indicted-Former UBS Stockbroker-Houston, 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 October 23, 2017 October 23, 2017

JANUARY 2019- Houston, TX We are currently pursuing FINRA arbitration claims on behalf of investors who were victims of William Hightower. In a recently filed case on behalf of a…

Robert Rex, Esq.
October 21, 2017

James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano Beach, FL

James V. Marino-Former Edward Jones Broker- Faces Allegations of Theft from Customer-Pompano 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 October 21, 2017 October 21, 2017

OCTOBER 2017 James V. Marino , a former stockbroker in Pompano Beach, FL, who was last employed by Edward Jones , was recently barred permanently from the securities industry by FINRA. …

Robert Rex, Esq.
October 19, 2017

Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator

Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator 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 19, 2017 April 26, 2024

July 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…

Robert Rex, Esq.
October 19, 2017

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-Boca Raton, FL

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlments to Customers and Regulatory Sanction-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 October 19, 2017 October 19, 2017

UPDATE March 2019–Aldo Marchena, who is not currently registered with any broker dealer, was recently permanently barred from the securities industry in Florida. He discloses four customer disputes on his…

Robert Rex, Esq.
October 18, 2017

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. 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 October 18, 2017 October 18, 2017

October 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

Robert Rex, Esq.
October 17, 2017

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, TX

William W. Marshall-Ameriprise Broker-Subject of Pending Customer Suits Alleging Fraud-Plano, 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 October 17, 2017 October 17, 2017

April 2018-Plano, TX The FINRA records of William W. Marshall , a stockbroker who is currently registered with Ameriprise Financial Services disclose a prior regulatory event, 6 pending customer disputes including at least…

Robert Rex, Esq.
October 15, 2017

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, 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 October 15, 2017 October 15, 2017

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

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