Unsuitable Investments

  • Robert Rex, Esq.

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH
Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Robert Rex, Esq.

  See this for March 2024 Update on former NEXT Financial Group Broker Charles Kulch   April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen
Rex Securities Law Investment Fraud Attorney Investigates Morgan Stanley Broker Darryl Cohen 150 150 Robert Rex, Esq.

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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  • Robert Rex, Esq.

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III
LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Robert Rex, Esq.

March 2024 Update– See this for our investigation of LPL and some of their brokers.    UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Santariello formerly with Arive Capital Markets
Rex Securities Law Investment Fraud Attorney Investigates John Santariello formerly with Arive Capital Markets 150 150 Robert Rex, Esq.

Last Updated: February 2024 (Coram, NY) John Santariello Investigation Summary Here’s what you need to know about Coram, NY, stockbroker John Santariello: Name: Mr. John Joseph Santariello Current Employer: Barred…

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  • Robert Rex, Esq.

Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ
Francisco Valenzuela-Former Morgan Stanley Broker-Ordered to Pay Mexican Farmer $160,000 -Phoenix, AZ 150 150 Robert Rex, Esq.

Francisco Valenzuela Investigation February 2024- Phoenix, AZ  According to FINRA records,  Francisco J. Valenzuela ,  a former broker  who previously worked for Morgan Stanley , discloses 2 regulatory events,  4 prior…

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  • ER

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI
Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation February 2024- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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  • Robert Rex, Esq.

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX
Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX 150 150 Robert Rex, Esq.

Jon Ellefson & GWG L-Bond Investigation February 2024-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL
Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation February 2024- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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