Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL 150 150 Robert Rex, Esq.

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case  , (CRD# 2393464) ,  a   former stockbroker who last worked for LPL Financial LLC,  discloses that he was recently sanctioned by securities regulators…

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Losses On LJM Preservation and Growth Fund May Be Recoverable

Losses On LJM Preservation and Growth Fund May Be Recoverable 150 150 Robert Rex, Esq.

April 2018 We are currently reviewing potential claims for investors who suffered losses in  LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…

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Cynthia Rodriguez Pleads Guilty to Bank Fraud/Embezzlement-McAllen, Texas

Cynthia Rodriguez Pleads Guilty to Bank Fraud/Embezzlement-McAllen, Texas 150 150 Robert Rex, Esq.

February 2018-McAllen, TX Cynthia Luna Rodriguez, 45, of Pharr, Texas entered a guilty plea to allegations that she stole more than $1 million from customer accounts at First National Bank…

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RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL

RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL 150 150 Robert Rex, Esq.

November 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts,  to pay a former…

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William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 150 150 Robert Rex, Esq.

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) ,  a  stockbroker who is currently employed by Wells Fargo is the subject of a  currently pending customer dispute. He discloses the settlement…

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Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Robert Rex, Esq.

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA

Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA 150 150 Robert Rex, Esq.

Los Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…

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Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 150 150 Robert Rex, Esq.

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

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