Stockbroker Malpractice Archives

Robert Rex, Esq.
June 14, 2018

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA 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 14, 2018 June 14, 2018

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr. , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event, a pending customer dispute, 7…

Robert Rex, Esq.
June 13, 2018

AARP S. Dakota Elder Abuse Event-June 14, 2018

AARP S. Dakota Elder Abuse Event-June 14, 2018 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 13, 2018 June 13, 2018

June 13-Sioux Falls, S.D. Erik Nelson, director of advocacy for AARP South Dakota recently stated that many seniors who are taken advantage of react with hurt or disbelief and hesitate…

Robert Rex, Esq.
June 12, 2018

Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH

Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH 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 12, 2018 June 12, 2018

June 2021– Bellefontaine, OH The FINRA records of Craig A. Sutherland , a stock broker formerly employed by Money Concepts Capital Corp , disclose 3 prior regulatory matters and 10 prior final customer disputes. The…

Robert Rex, Esq.
June 9, 2018

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, NY

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, 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 June 9, 2018 June 9, 2018

May 2018- Staten Island, NY According to FINRA records, former stockbroker Laurence M. Torres discloses 2 pending and 4 prior customer disputes. Torres, who worked for First Standard Financial Company and Alexander Capital,…

Robert Rex, Esq.
May 30, 2018

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 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 30, 2018 May 30, 2018

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

Robert Rex, Esq.
May 28, 2018

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, 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 May 28, 2018 May 28, 2018

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom , a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
May 27, 2018

Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-Dallas, TX

Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-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 May 27, 2018 May 27, 2018

JANUARY 2019-Dallas, Texas The FINRA records of Thomas H. Eades , a stockbroker who works for RBC Capital Markets disclose a pending customer disputes seeking damages for the mismanagement of their accounts. The…

Robert Rex, Esq.
May 24, 2018

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ 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 24, 2018 May 24, 2018

May 2018-Scottsdale, AZ The FINRA records of Wayne I. Miller , a stockbroker who formerly worked for Accelerated Capital Group disclose a pending regulatory suspension, a pending customer dispute and 2 prior customer…

Robert Rex, Esq.
May 24, 2018

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ 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 24, 2018 May 24, 2018

May 2018-Mesa, AZ The FINRA records of Bradley J. Tennison , a stockbroker who is not currently registered and who last was employed by Geneos Wealth Management disclose a pending customer dispute ,…

Robert Rex, Esq.
May 21, 2018

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, 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 May 21, 2018 May 21, 2018

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

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