Variable Annuities Archives

Robert Rex, Esq.
March 1, 2024

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 1, 2024 March 8, 2024

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…

Robert Rex, Esq.
September 28, 2021

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 28, 2021 September 28, 2021

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

Robert Rex, Esq.
May 27, 2019

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 27, 2019 February 19, 2024

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…

Robert Rex, Esq.
May 11, 2018

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2018 May 11, 2018

September 2019 -Ft. Worth, Texas The FINRA records of Timothy D. Walsh , a broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

Robert Rex, Esq.
April 19, 2018

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 19, 2018 April 19, 2018

April 2018 The FINRA records of Park Avenue Securities , a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…

Robert Rex, Esq.
October 15, 2017

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 15, 2017 October 15, 2017

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

Robert Rex, Esq.
April 13, 2017

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 13, 2017 October 4, 2023

April 2017-Shawnee, KS The FINRA records of Daniel C. Stewart , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
April 6, 2017

Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX

Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 6, 2017 April 6, 2017

April 2017-Houston, Texas According to publicly available records Christopher D. Gammon , (CRD# 2344523) , a stockbroker who is currently registered with IMS Securities discloses two pending and two prior final customer disputes. The Financial Industry Regulatory Authority…

Robert Rex, Esq.
April 6, 2017

Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX

Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 6, 2017 April 6, 2017

April 2017-Houston, Texas According to publicly available records Jackie D. Wadsworth , (CRD# 2342163) , a stockbroker who is currently registered with IMS Securities discloses three pending and four prior final customer disputes. The Financial Industry Regulatory Authority…