Stockbroker Discharged Archives

Robert Rex, Esq.
February 26, 2018

William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West Palm Beach, FL

William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West 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 February 26, 2018 February 26, 2018

February 2018-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is not currently registered with any broker dealer and who was last employed by Woodstock Financial Group disclose a regulatory…

Robert Rex, Esq.
February 23, 2018

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,FL

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray 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 February 23, 2018 February 23, 2018

February 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…

Robert Rex, Esq.
February 22, 2018

Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK

Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK 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 February 22, 2018 February 22, 2018

February 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan , (CRD# 1776666) , a former stockbroker who last worked for WFG Investments discloses that he was recently permanently barred from the securities…

Robert Rex, Esq.
February 20, 2018

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-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 February 20, 2018 April 5, 2024

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…

Robert Rex, Esq.
February 20, 2018

Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL

Jimmy Moscoso-Former Lincoln Financial Advisor Broker-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 February 20, 2018 February 20, 2018

February 2018-Boca Raton, FL According to publicly available records Jimmy Oswald Moscoso , (CRD# 2912265) , a former stockbroker who last worked for Lincoln Financial Advisors, discloses that he was recently barred from the…

Robert Rex, Esq.
February 6, 2018

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -Plano, TX

Kenneth B. Neuner-Former VSR Financial Services Broker-Accused of Unauthorized Trading-Barred From Securities Industry -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 February 6, 2018 October 4, 2023

February 2018-Dallas, Texas The FINRA records of Kenneth B. Neuner , a stockbroker who was formerly employed by Summit Brokerage Services, VSR Financial Services and TCFG Wealth Management disclose that he was recently barred from…

Robert Rex, Esq.
February 5, 2018

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, 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 February 5, 2018 February 5, 2018

November 2019-Dallas, TX Larry Martin Boggs, a former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

Robert Rex, Esq.
February 1, 2018

Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-Houston, TX

Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-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 February 1, 2018 February 1, 2018

JANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…

Robert Rex, Esq.
January 5, 2018

Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX

Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-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 January 5, 2018 January 5, 2018

January 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…

Robert Rex, Esq.
January 5, 2018

James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX

James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-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 January 5, 2018 January 5, 2018

January 2018-Houston, Texas James Tao, a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in December 2017, which…

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