Stockbroker Malpractice Archives

Robert Rex, Esq.
April 11, 2018

Losses on an Investment in The Parking REIT ?

Losses on an Investment in The Parking REIT ? 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 11, 2018 April 11, 2018

March 2018 The Parking REIT, Inc. , a Maryland real estate investment trust announced suspension of cash distributions and stock dividends on March 23, 2018. According to a press release…

Robert Rex, Esq.
April 11, 2018

Bill Fenwick-First Kentucky Securities Corp. – Discloses Customer Disputes-Louisville, KY

Bill Fenwick-First Kentucky Securities Corp. – Discloses Customer Disputes-Louisville, KY 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 11, 2018 April 11, 2018

April 2018-Louisville, KY The FINRA records of William C. (Billy) Fenwick Jr. , Senior VP and Board member of First Kentucky Securities Corporation disclose two pending customer disputes and a prior final customer dispute.…

Robert Rex, Esq.
April 9, 2018

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, 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 April 9, 2018 April 9, 2018

April 2018- El Paso, Texas According to FINRA records, Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…

Robert Rex, Esq.
April 2, 2018

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-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 April 2, 2018 April 2, 2018

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

Robert Rex, Esq.
March 31, 2018

Todd Burnett-Oppenheimer Stockbroker-Subject of $900K Customer Complaint Alleging Churning & Missing Funds-St. Louis, MO

Todd Burnett-Oppenheimer Stockbroker-Subject of $900K Customer Complaint Alleging Churning & Missing Funds-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 March 31, 2018 March 31, 2018

April 2019 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) , a stockbroker who currently is employed by Oppenheimer & Co. , disclose that a customer recently settled a FINRA…

Robert Rex, Esq.
March 27, 2018

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, 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 March 27, 2018 March 27, 2018

January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed by NEXT Financial Group , disclose that he was barred by securities regulators, a recent…

Robert Rex, Esq.
March 26, 2018

Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, OK

Kyle Ridenour-Wells Fargo Stockbroker-Subject of Customer Suit Alleging Investments in High Risk/Speculative Stocks-Edmond, 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 March 26, 2018 March 26, 2018

January 2019- Edmond, Oklahoma The FINRA records of David Kyle Ridenour , a stockbroker who is currently employed by Wells Fargo Clearing Services , disclose three prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
March 26, 2018

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-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 March 26, 2018 March 26, 2018

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute, and a…

Robert Rex, Esq.
March 23, 2018

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-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 March 23, 2018 October 3, 2023

Mason Gann Investigation September 2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

Robert Rex, Esq.
March 23, 2018

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano 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 March 23, 2018 March 23, 2018

MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former employer of former stockbroker Mark Kaplan on behalf of an elderly couple in their…

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