Stockbroker Malpractice Archives

Robert Rex, Esq.
August 31, 2018

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, 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 August 31, 2018 August 31, 2018

March 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…

Robert Rex, Esq.
August 30, 2018

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 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 August 30, 2018 August 30, 2018

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker, disclose a pending customer dispute, 2 prior…

Robert Rex, Esq.
August 30, 2018

Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, CO

Daniel Gamache- Former UBS Broker- Discloses 2 Customer Disputes- Denver, 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 August 30, 2018 August 30, 2018

August 2018- Denver, CO The FINRA records of Daniel Gamache, a stockbroker who is not currently employed and who last worked for UBS Financial Services in Denver, CO, discloses two pending…

Robert Rex, Esq.
August 28, 2018

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, 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 August 28, 2018 August 28, 2018

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

Robert Rex, Esq.
August 21, 2018

Buttonwood Partners Sanctioned by Regulators After Hacker Steals from Customer Account-Madison, WI

Buttonwood Partners Sanctioned by Regulators After Hacker Steals from Customer Account-Madison, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g August 21, 2018 August 21, 2018

August 2018-Madison, WI Buttonwood Partners, Inc. a FINRA registered broker dealer with principal offices located in Madison, Wisconsin, was recently censured and fined $50,000 by FINRA for having inadequate procedures…

Robert Rex, Esq.
August 18, 2018

Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY

Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, 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 August 18, 2018 August 18, 2018

January 2019-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose a pending customer dispute, 6 prior customer disputes, a bankruptcy filing and 9 outstanding…

Robert Rex, Esq.
August 17, 2018

Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-Dallas, TX

Dwaine Caraway Pleads Guilty to Federal Corruption Charges-Resigns From Council-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 August 17, 2018 August 17, 2018

August 2018-Dallas, Texas The Dallas Morning News reports that Dallas Mayor Pro Tem Dwaine Caraway has pleaded guilty to federal corruption charges filed in Dallas federal court last week. Caraway,…

Robert Rex, Esq.
August 7, 2018

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX

Dexter L. Thomas Litigation Update-June 2019-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 August 7, 2018 August 7, 2018

June 2019 UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

Robert Rex, Esq.
July 30, 2018

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO

Demos Argyros-Oppenheimer Broker-Discloses Settlement of Customer Suit-St. Louis, MO 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 30, 2018 July 30, 2018

March 2019-St. Louis, MO The FINRA records of Demos Argyros (Demostenes Argyropoulos), a stock broker who is currently employed by Oppenheimer and Co. , disclose 4 prior customer disputes and one currently pending matter. The…

Robert Rex, Esq.
July 24, 2018

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-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 July 24, 2018 July 24, 2018

July 2018- Frisco, Texas The FINRA records of Clarence L. McGill , a former stock broker who was most recently employed by GWN Securities , disclose that he was recently barred from the securities industry. The Financial Industry…

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