Unsuitable Investments Archives

Robert Rex, Esq.
January 25, 2016

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. Carolina

Randy Burke Investigation- Former Stockbroker Calton & Associates-Hickory, N. 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 January 25, 2016 January 25, 2016

1/25/2016-Hickory, North Carolina Rex Securities Law is investigating former Calton & Associates broker Randy W. Burke. According to his FINRA brokercheck report, Burke was barred from the securities industry October 2015, to resolve…

Robert Rex, Esq.
January 21, 2016

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis 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 January 21, 2016 January 21, 2016

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

Robert Rex, Esq.
January 12, 2016

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- Dallas, TX

Larry M. Crabtree-Former WFG Broker Sanctioned by Securities Regulators- 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 January 12, 2016 January 12, 2016

December 30 , 2015-Dallas, Texas Larry Michael Crabtree entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with WFG…

Robert Rex, Esq.
January 12, 2016

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs

GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 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 January 12, 2016 January 12, 2016

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

Robert Rex, Esq.
January 12, 2016

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-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 January 12, 2016 January 12, 2016

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

Robert Rex, Esq.
January 11, 2016

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-Georgetown, TX

Betsy Marcom-NEXT Financial Group Broker Fined/Suspended for Unsuitable Recommendation to Church-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 January 11, 2016 January 11, 2016

November 19, 2015-Georgetown, Texas Betsy Marcom (formerly Betsy Bratton Perryman) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

Robert Rex, Esq.
January 6, 2016

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account

Zachary Bader-Former Craig Scott Capital Broker Barred From Industry for Churning Customer Account 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 January 6, 2016 January 6, 2016

November 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…

Robert Rex, Esq.
December 17, 2015

Dennis Van Patter Investigation -First Financial Services Group-Plano,TX

Dennis Van Patter Investigation -First Financial Services Group-Plano,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 December 17, 2015 September 29, 2023

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…

Robert Rex, Esq.
December 3, 2015

Losses on RCS Capital (RCAP) ? Recovery Options for Investors.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 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 December 3, 2015 December 3, 2015

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

Robert Rex, Esq.
November 24, 2015

Update on Recovery of Reef Oil & Gas Investment Losses

Update on Recovery of Reef Oil & Gas Investment Losses 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 November 24, 2015 November 24, 2015

Reef Oil and Gas of Richardson, Texas, has been sponsoring energy related investments for many years. These investments are marketed by many different brokerage firms nationwide. Investors who have suffered…

Featured Investigations