Inc. Archives

Protecting
Investor

the

Stockbroker Malpractice
Negligence, Fraud

Featured Investigations

Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers

Firms We Have Pursued for Clients

Robert Rex, Esq.
May 25, 2016

John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO

John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO 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 25, 2016 May 25, 2016

Greenwood Village, Colorado According to FINRA records, John J. Avey, a broker who has been registered with First Financial Equity , since 1/2016 , discloses a termination and 2 prior customer disputes that…

Robert Rex, Esq.
January 12, 2016

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse

Stephens Inc. Sanctioned by Securities Regulators for Mutual Fund Sales Charge Abuse 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

October 27, 2015 Stephens, Inc. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that since June 1, 2009, Stephens disadvantaged certain…