exercising discretion in stock account Archives

Robert Rex, Esq.
July 10, 2016

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment 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 July 10, 2016 July 10, 2016

July 2016- Troy, Michigan The FINRA records of David K. Rubenstein , a stock broker currently employed by L.M. Kohn & Company, disclose a prior final customer dispute, a prior final financial disclosure and 2 prior…

Robert Rex, Esq.
June 22, 2016

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination 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 22, 2016 June 22, 2016

New York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Robert Rex, Esq.
June 6, 2016

Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event

Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event 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 6, 2016 June 6, 2016

Melville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…

Robert Rex, Esq.
January 21, 2016

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading 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

January 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…

Featured Investigations

David K. Rubenstein-Former Ameriprise Broker-Discloses Terminations from Employment

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination

Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading