Unsuitable Investments Archives

ER
July 18, 2026

Rex Securities Law Investigates James Bernthal-Former Aegis Capital Broker

Rex Securities Law Investigates James Bernthal-Former Aegis Capital Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g July 18, 2026 July 24, 2026

James Bernthal Investigation July 2026-New York, NY According to publicly available records James R. Bernthal a broker formerly with Aegis Capital Corp., discloses 7 prior customer disputes. The Financial Industry…

Robert Rex, Esq.
May 10, 2026

Rex Securities Law Investment Fraud Attorney Investigates Luis Marquez-a Broker with Laidlaw & Co.

Rex Securities Law Investment Fraud Attorney Investigates Luis Marquez-a Broker with Laidlaw & 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 May 10, 2026 July 13, 2026

May 2026- Ft. Lauderdale, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

Robert Rex, Esq.
May 7, 2026

Rex Securities Law Investment Fraud Attorney Investigates Gil Sharon-a Broker with A.G.P.- Alliance Global Partners

Rex Securities Law Investment Fraud Attorney Investigates Gil Sharon-a Broker with A.G.P.- Alliance Global Partners 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 7, 2026 July 13, 2026

May 2026 The FINRA records of Gil Sharon , a stock broker who is employed by A.G.P. – Alliance Global Partners disclose several prior customer dispute . The Financial Industry Regulatory Authority (FINRA) is…

ER
May 5, 2026

Edmund “Eddie” Murphy- Former of Robert W. Baird/ Cardinal Sign Advsory Investigation – Naples, FL

Edmund “Eddie” Murphy- Former of Robert W. Baird/ Cardinal Sign Advsory Investigation – Naples, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 5, 2026 July 14, 2026

Edmund P. Murphy Investigation May 2026- Naples, FL According to publicly available records Edmund “Eddie” P. Murphy, a broker previously registered with Robert W. Baird & Co., and Cardinal Sign…

ER
May 1, 2026

Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL

Dennis “Denny” Haywood Investigation- Purepath Wealth Management / Former Crown Capital Broker – Land O’Lakes, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g May 1, 2026 July 16, 2026

Denny Haywood Investigation May 2026- Land O’ Lakes, FL The FINRA records of Dennis “Denny” Haywood , a stockbroker previously with Crown Capital Securities, Inc. broker discloses a 19 prior customer…

Robert Rex, Esq.
April 13, 2026

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -St. Louis, MO

Alvery Bartlett- Former Aegis Capital Broker-Millions Paid to Disgruntled Customers -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 April 13, 2026 June 28, 2026

April 2026 – St. Louis, MO According to publicly available records Alvery Anthony Bartlett, Jr. (CRD#13975), a stockbroker who was last employed by Aegis Capital and who previously worked for Arete…

Robert Rex, Esq.
April 6, 2026

Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO

Martin Brooks-Former United Planners Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, 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 April 6, 2026 June 27, 2026

April 2026- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a former stockbroker who was last employed by United Planners Financial Services of America (7/2016-12/2019) , disclose two prior…

Robert Rex, Esq.
April 6, 2026

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA

Mark Alex Reffett- Arkadios Capital Broker- Discloses Settlement of Customer Dispute- Atlanta, GA 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 6, 2026 April 8, 2026

April 2026- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett discloses settlement of a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

ER
April 3, 2026

William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX

William “Frank” Richardson Investigation -Former Avantax Financial Advisor-Subject of Customer Complaints-Houston, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g April 3, 2026 June 25, 2026

William Frank Richardson Investigation April 2026-Houston, TX The FINRA records of William “Frank” Richardson, Jr. , a stock broker formerly with Avantax Investment Services, disclose 6 prior customer disputes. The…

Robert Rex, Esq.
March 30, 2026

Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, TX

Kirk Badii Investigation-The Badii Group -Subject of $5M+ Customer Claims -Southlake, 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 30, 2026 May 13, 2026

Kirk Badii- The Badii Group – Investigation March 2026 update Southlake, TX The FINRA records of Kirk Badii, a stockbroker with Independent Financial Group , disclose settlement of two customer disputes and…

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