finra arbitration attorney Archives

Robert Rex, Esq.
April 25, 2019

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-Boca Raton, FL

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-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 April 25, 2019 April 25, 2019

April 2019 – Little Silver, NJ/Boca Raton, FL According to publicly available records Buckman, Buckman & Reid and Harry John (“Chip”) Buckman , were recently sanctioned by FINRA for failing to supervise…

Robert Rex, Esq.
April 24, 2019

Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, NJ

Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, NJ 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 April 24, 2019 April 24, 2019

January 2020 – Florsham Park, NJ According to publicly available records Richard Thomas Ragold (CRD#1808168) , a stockbroker who is currently registered with Capitol Securities Management, Inc., disclose 2 settled…

Robert Rex, Esq.
April 24, 2019

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- 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 April 24, 2019 April 24, 2019

April 2019- Dallas, TX According to public records of Stephen J. Hoshimi (CRD#1977772) a stockbroker previously employed by Crescent Securities Group, Capwest Securities and Securities America, disclose 4 regulatory events,…

Robert Rex, Esq.
April 2, 2019

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, 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 April 2, 2019 April 2, 2019

April 2019 – Kingwood, TX According to publicly available records Phillip Andrew Johnson (CRD# 501352) , a former stockbroker who was last employed by D.H. Hills Securities, disclose 4 regulatory events, 2…

Robert Rex, Esq.
March 28, 2019

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV

Richard Bernstein-Wells Fargo Broker-Dislcoses 2 Pending & 6 Final Customer Disputes-Incline Village, NV 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 March 28, 2019 March 28, 2019

March 2019 – Incline Village, NV According to publicly available records Richard Jay Bernstein (CRD# 1113777) , a registered stockbroker currently employed by Wells Fargo Clearing Services, disclose 2 pending and 6…

Robert Rex, Esq.
March 26, 2019

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, 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 March 26, 2019 March 26, 2019

March 2019- Frisco, Texas We are currently investigating former NY Life Securities financial advisor Judith Adele Johnston . According to publicly available records , Judith Johnston , discloses a recent regulatory matter,…

Robert Rex, Esq.
March 21, 2019

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, 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 March 21, 2019 March 21, 2019

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

Robert Rex, Esq.
March 12, 2019

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. 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 March 12, 2019 March 12, 2019

March 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…

Robert Rex, Esq.
March 8, 2019

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 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 March 8, 2019 March 8, 2019

March 2019 – Danbury, CT According to publicly available records Robert Eugene Berg (CRD#1218879) , a stockbroker who is currently registered with Summit Brokerage Services, disclose 1 pending and 2 prior customer disputes.…

Robert Rex, Esq.
March 4, 2019

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 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 March 4, 2019 March 4, 2019

April 2020 – Collegeville, PA According to publicly available records Richard Michael Wesselt (CRD# 2195569) , a registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

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