Unsuitable Investments Archives

ER
June 13, 2023

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, FL

Vincent “Vinny” Grucci-Former Fortune Financial Services Broker-Discloses FINRA Investigation and Final Customer Dispute- Ocean Ridge, 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 June 13, 2023 October 2, 2023

Vincent “Vinny” Grucci Investigation June 2023-Ocean Ridge, FL The FINRA records of Vinny Grucci, a former stock broker who was last employed by Fortune Financial Services, Inc. disclose a pending FINRA…

ER
June 13, 2023

Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA

Chris “Kit” Hartman – Former Kovack Securities Broker- Has Three Pending Customer Disputes-Santa Barbara, CA 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 June 13, 2023 October 4, 2023

Chris “Kit” Hartman Investigation June 2023 – Ft Lauderdale, FL According to publicly available records Chris “Kit” Hartman, a stockbroker previously employed by Kovack Securities, discloses 3 pending customer disputes. The…

Robert Rex, Esq.
May 17, 2023

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina

Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South 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 May 17, 2023 October 3, 2023

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 16 prior customer dispute…

Robert Rex, Esq.
May 8, 2023

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 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 8, 2023 October 3, 2023

Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

Robert Rex, Esq.
April 26, 2023

Securities Regulators List Top Investor Threats for 2023- Washington, D.C.

Securities Regulators List Top Investor Threats for 2023- Washington, D.C. 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 26, 2023 October 4, 2023

Top Investor Threats for 2023 Per NASAA April 2023 The North American Securities Administrators Association (NASAA)represents state and provincial securities regulators in the United States, Canada and Mexico. According to…

ER
April 19, 2023

Leonid Yurovsky-Joseph Stone Capital Advisor-Discloses a Regulatory Event and Prior Customer Dispute- New York, NY

Leonid Yurovsky-Joseph Stone Capital Advisor-Discloses a Regulatory Event and Prior Customer Dispute- New York, NY 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 19, 2023 October 4, 2023

Leonid Yurovsky Investigation April 2023– New York, NY According to publicly available records, Leonid Yurovsky, a broker for Joseph Stone Capital, discloses a final regulatory matter resulting in a 5 month…

ER
April 10, 2023

Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, TX

Robinhood Financial to Pay up to $10.2M to Settle Regulator Claims- Austin, 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 10, 2023 September 30, 2023

Texas State Securities Board Settlement with Robinhood Financial April 2023– Austin, TX The Texas State Securities Board (TSSB) has joined a multi-state settlement with Robinhood Financial which will pay…

ER
April 10, 2023

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA 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 10, 2023 October 5, 2023

Donald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…

Robert Rex, Esq.
April 5, 2023

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, 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 April 5, 2023 October 4, 2023

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne ) ,a stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

Robert Rex, Esq.
April 3, 2023

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Bethel Fisher Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 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 3, 2023 April 3, 2023

April 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…

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