Margin Archives

ER
February 11, 2025

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 11, 2025 February 12, 2025

Robert Li Investigation February 2025-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…

ER
March 14, 2023

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g March 14, 2023 October 3, 2023

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…

Robert Rex, Esq.
September 15, 2021

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, 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 September 15, 2021 September 15, 2021

September 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…

ER
August 18, 2021

Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL

Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g August 18, 2021 August 18, 2021

August 2021 – Tampa, FL According to publicly available records , Clyde Anthony Jensen, a former broker with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

Robert Rex, Esq.
January 2, 2020

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,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 January 2, 2020 January 2, 2020

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…

Robert Rex, Esq.
June 20, 2018

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 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 June 20, 2018 June 20, 2018

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…

Robert Rex, Esq.
January 31, 2018

Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM

Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM 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 31, 2018 January 31, 2018

January 2018-Las Cruces, NM The FINRA records of Jeffrey Randolph Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…

Robert Rex, Esq.
July 12, 2017

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, 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 July 12, 2017 July 12, 2017

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in Mitchelfield , NY, and three of their brokers…

Robert Rex, Esq.
April 29, 2017

Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL

Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, 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 April 29, 2017 April 29, 2017

April 2017-Miami, FL The FINRA records of Silvano R. Trino , a broker with Northeast Securities disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
April 29, 2017

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, 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 April 29, 2017 April 29, 2017

April 2017-Mitchelfield, NY The FINRA records of Jonathan M. Zucker , a broker with Northeast Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…