Stockbroker Malpractice Archives

Robert Rex, Esq.
March 7, 2018

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,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 7, 2018 March 7, 2018

May 2018- Kilgore, TX The FINRA records of Jerry D. Raines, a previously registered stock broker who was last employed by HD Vest Investment Services and Signal Securities, disclose eleven pending customer disputes involving the allegedly…

Robert Rex, Esq.
March 7, 2018

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, 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 7, 2018 March 7, 2018

May 2018- Kilgore, TX The FINRA records of Donna L. Barnard , a stock broker formerly employed by HD Vest Investment Services and Signal Securities, disclose 10 pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

Robert Rex, Esq.
March 7, 2018

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO.

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, 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 7, 2018 October 4, 2023

February 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…

Robert Rex, Esq.
March 7, 2018

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas 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 7, 2018 March 7, 2018

February 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…

Robert Rex, Esq.
March 6, 2018

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio 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 6, 2018 March 6, 2018

March 2018 The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry…

Robert Rex, Esq.
March 6, 2018

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-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 6, 2018 March 6, 2018

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

Robert Rex, Esq.
March 5, 2018

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 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 5, 2018 March 5, 2018

March 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…

Robert Rex, Esq.
March 5, 2018

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona 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 5, 2018 March 5, 2018

March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

Robert Rex, Esq.
March 4, 2018

Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas

Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas 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 4, 2018 March 4, 2018

March 2018- Rogers, Arkansas The FINRA records of Norris Richard (“Richie”) Roberts, Jr. , a former stockbroker who was last employed by Stephens Inc. disclose a recent regulatory matter resulting in a permanent bar from…

Robert Rex, Esq.
March 3, 2018

Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, CA

Hemant Kathuria-Euro Pacific Stockbroker-Subject of $791K Customer Dispute Over Private Placement Investments-El Segundo, 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 March 3, 2018 March 3, 2018

March 2018- El Segundo, CA The FINRA records of Hemant Kathuria , a stockbroker who is currently employed by Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry…

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