finra arbitration attorney Archives

Robert Rex, Esq.
March 14, 2018

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 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 14, 2018 March 14, 2018

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

Robert Rex, Esq.
March 9, 2018

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker 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 9, 2018 March 9, 2018

MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their…

Robert Rex, Esq.
March 7, 2018

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,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 7, 2018 March 7, 2018

May 2018- Kilgore, TX The FINRA records of Jerry D. Raines, a previously registered stock broker who was last employed by HD Vest Investment Services and Signal Securities, disclose eleven pending customer disputes involving the allegedly…

Robert Rex, Esq.
March 7, 2018

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO.

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO. 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 7, 2018 October 4, 2023

February 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…

Robert Rex, Esq.
March 7, 2018

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g March 7, 2018 March 7, 2018

February 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…

Robert Rex, Esq.
March 7, 2018

Gil Sharon-Maxim Group Stockbroker-Subject of $200K Customer Dispute Over Excessive Trading-Cleveland, Ohio

Gil Sharon-Maxim Group Stockbroker-Subject of $200K Customer Dispute Over Excessive Trading-Cleveland, Ohio 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 7, 2018 March 7, 2018

March 2018 The FINRA records of Gil Sharon , a stock broker who is employed by Maxim Group LLC disclose a pending customer dispute and 3 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
March 6, 2018

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio

Amadou (Andrew) Bah-Former Maxim Securities Group Broker-Barred From Industry-Subject of $200K Customer Suit-Cleveland, Ohio 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 6, 2018 March 6, 2018

March 2018 The FINRA records of Amadou Bah, a former stock broker who was last employed employed by Maxim Group LLC disclose a regulatory matter resulting in a bar from the securities industry…

Robert Rex, Esq.
March 6, 2018

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-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 March 6, 2018 March 6, 2018

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

Robert Rex, Esq.
March 5, 2018

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 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 5, 2018 March 5, 2018

March 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…

Robert Rex, Esq.
March 5, 2018

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, 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 March 5, 2018 March 5, 2018

March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

Featured Investigations