alternative investments Archives

ER
April 1, 2022

Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY

Mark Kregor-Former Robert W. Baird Broker-Discloses Regulatory Sanctions, Prior Customer Disputes and a Termination -Louisville, KY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 1, 2022 October 3, 2023

Mark Kregor Investigation March 2022- Louisville, KY The FINRA records of Mark F. Kregor, a broker with Stifel, Nicolaus & Company who formerly worked for Robert W. Baird, disclose a regulatory…

ER
March 30, 2022

Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY

Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 30, 2022 October 3, 2023

Kurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein, a Quint Capital Corporation broker, discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…

Robert Rex, Esq.
December 3, 2021

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 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 December 3, 2021 October 3, 2023

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop, a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital, disclose…

Robert Rex, Esq.
December 1, 2020

Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA

Mark Alex Reffett- Former Triad Advisors Broker- Discloses $1.5 Million Customer Dispute- Atlanta, GA 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 December 1, 2020 December 1, 2020

November 2020- Atlanta, GA According to publicly available records, former Triad Advisors broker Mark Alex Reffett discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
March 21, 2018

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana

Steven E. Love-Parkland Securities Broker-Subject of Arbitration Claim-Terre Haute, Indiana 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 21, 2018 March 21, 2018

March 2018-Terre Haute, Indiana We recently filed FINRA Case #18-1047 on behalf of an 81 year old widow from Terre Haute, Indiana, who alleges that Parkland Securities (formerly Sammons Securities)…

Robert Rex, Esq.
February 26, 2018

Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, TX

Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, 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 February 26, 2018 February 26, 2018

February 2018-Austin, Texas The FINRA records of Mark B. Reinking , a stockbroker who is not currently registered with any broker dealer and who was last employed by The Leaders Group Inc. disclose a pending…