SII Investments Inc. Archives

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September 1, 2022

Rex Securities Law Investment Fraud Attorney Investigates Jeff Labelle formerly with LPL Financial

Rex Securities Law Investment Fraud Attorney Investigates Jeff Labelle formerly with LPL Financial https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 1, 2022 January 22, 2024

Last Updated: January 2024 (Sarasota, FL) Jeff Labelle Investigation Summary Here’s what you need to know about Sarasota, FL, stockbroker Jeffrey Labelle: Name: Mr. Jeffrey Guy Labelle Current Employer: Not…

Robert Rex, Esq.
October 30, 2018

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 30, 2018 October 30, 2018

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute. The Financial Industry…

Robert Rex, Esq.
August 6, 2018

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 6, 2018 August 6, 2018

August 2018-Appleton, WI The FINRA records of Edward A. Klug, a former stock broker who was last employed by Newbridge Securities , disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens. The Financial…

Robert Rex, Esq.
April 4, 2016

Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL

Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2016 April 4, 2016

UPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…

Robert Rex, Esq.
March 18, 2016

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 18, 2016 March 18, 2016

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…