Unauthorized Trading Archives

Robert Rex, Esq.
September 19, 2019

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, NY

Chris Fernan – Former Salomon Whitney Broker- Discloses Regulatory Event, 7 Customer Disputes and a Termination From Employment-Greenlawn, 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 September 19, 2019 September 19, 2019

July 2021 – Greenlawn, NY The FINRA records of Christopher Anthony Fernan , a currently unregistered stockbroker who was last employed by Salomon Whitney Financial , disclose 2 regulatory events, a criminal event, 1 pending customer…

Robert Rex, Esq.
July 24, 2019

Leonard Gallick, Jr.- Worden Capital Management Broker-Discloses Customer Suits-New York, NY

Leonard Gallick, Jr.- Worden Capital Management Broker-Discloses Customer Suits-New York, 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 July 24, 2019 July 24, 2019

July 2019, New York, NY According to publicly available records Leonard Vincent Gallick, Jr. (CRD#2593465) , a stockbroker currently registered with Worden Capital Management , disclose 6 prior customer disputes and 1…

Robert Rex, Esq.
July 15, 2019

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-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 July 15, 2019 July 15, 2019

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL, will close it doors and roll its business up into an…

Robert Rex, Esq.
June 11, 2019

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 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 11, 2019 June 11, 2019

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities financial advisor Kyusun Kim, discloses 19 settled and 4 pending customer disputes and a termination…

Robert Rex, Esq.
May 27, 2019

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, 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, 2019 February 19, 2024

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…

Robert Rex, Esq.
May 13, 2019

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York

Peter D. Viglione-Laidlaw & Co. Broker-Discloses Customer Suits-New York 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 13, 2019 May 13, 2019

May 2019 – New York According to publicly available records, Laidlaw & Company financial advisor Peter D. Viglione discloses 2 pending and 3 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
March 28, 2019

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN 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 28, 2019 March 28, 2019

September 2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …

Robert Rex, Esq.
March 15, 2019

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, 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 15, 2019 February 19, 2024

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Robert Rex, Esq.
March 12, 2019

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. 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 12, 2019 March 12, 2019

March 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…

Robert Rex, Esq.
October 30, 2018

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-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 October 30, 2018 October 30, 2018

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr. , a former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

Featured Investigations