Unsuitable Investments Archives

Robert Rex, Esq.
June 25, 2018

Rhodes Securities Brokers Disclose Customer Suits-Ft. Worth, Texas

Rhodes Securities Brokers Disclose Customer Suits-Ft. Worth, 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 June 25, 2018 July 23, 2025

June 2018-Ft. Worth, Texas According to FINRA records, three brokers at Ft. Worth based Rhodes Securities : Jim Gordon Rhodes, J Gordon Rhodes, and Marilyn R. Zehntner disclose the recent settlement…

Robert Rex, Esq.
June 20, 2018

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 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 20, 2018 June 20, 2018

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl , a stock broker who was, until recently, employed by Wells Fargo Advisors Financial Network , disclose a pending customer dispute and…

Robert Rex, Esq.
June 16, 2018

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN

Jack Maloney III-Former Edward Jones Broker-Subject of Customer Suit Over FireEye Inc.-Morristown/Johnson City, TN 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 16, 2018 June 16, 2018

May 2019- Morristown/Johnson City , Tennessee The FINRA records of John J. Maloney III (Jack Maloney) , a stock broker who is employed by Woodbury Financial Services , disclose a pending customer dispute, 4 prior…

Robert Rex, Esq.
June 16, 2018

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. Carolina

Jack W. Griffith Jr-Janney Montgomery Broker-Subject of $4.2M Customer Suit Over Energy Investments-Columbia, S. 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 June 16, 2018 June 16, 2018

June 2018- Columbia, South Carolina The FINRA records of Jack Wendell Griffith, Jr. , a stock broker who is employed by Janney Montgomery Scott , disclose 3 pending customer disputes, 2 prior customer disputes, and…

Robert Rex, Esq.
June 14, 2018

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA

Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, 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 June 14, 2018 June 14, 2018

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr. , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event, a pending customer dispute, 7…

Robert Rex, Esq.
June 12, 2018

Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH

Craig A. Sutherland-Former Money Concepts Broker-Subject of Numerous Customer Suits Involving REIT Invesments-Bellefontaine, OH 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 12, 2018 June 12, 2018

June 2021– Bellefontaine, OH The FINRA records of Craig A. Sutherland , a stock broker formerly employed by Money Concepts Capital Corp , disclose 3 prior regulatory matters and 10 prior final customer disputes. The…

Robert Rex, Esq.
June 9, 2018

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, NY

Laurence M. Torres-Former Alexander Capital Broker-Accused of High Pressure Sales Techniques-Staten Island, 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 June 9, 2018 June 9, 2018

May 2018- Staten Island, NY According to FINRA records, former stockbroker Laurence M. Torres discloses 2 pending and 4 prior customer disputes. Torres, who worked for First Standard Financial Company and Alexander Capital,…

Robert Rex, Esq.
May 30, 2018

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island

Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 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 30, 2018 May 30, 2018

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

Robert Rex, Esq.
May 28, 2018

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, 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 28, 2018 May 28, 2018

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom , a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
May 27, 2018

Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-Dallas, TX

Thomas Eades-RBC Capital Broker-Has Pending Customer Dispute-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 May 27, 2018 May 27, 2018

JANUARY 2019-Dallas, Texas The FINRA records of Thomas H. Eades , a stockbroker who works for RBC Capital Markets disclose a pending customer disputes seeking damages for the mismanagement of their accounts. The…

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