finra arbitration attorney Archives

Robert Rex, Esq.
February 26, 2018

William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West Palm Beach, FL

William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West Palm 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 February 26, 2018 February 26, 2018

February 2018-West Palm Beach, FL The FINRA records of William Bruckner , a stockbroker who is not currently registered with any broker dealer and who was last employed by Woodstock Financial Group disclose a regulatory…

Robert Rex, Esq.
February 24, 2018

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray 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 February 24, 2018 February 24, 2018

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and seven…

Robert Rex, Esq.
February 23, 2018

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,FL

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray 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 February 23, 2018 February 23, 2018

February 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…

Robert Rex, Esq.
February 22, 2018

Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, TX

Guy Conger-Former Money Concepts Capital Broker-Sanctioned by Securities Regulator-San Antonio, 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 February 22, 2018 February 22, 2018

February 2018-San Antonio, Texas According to publicly available records Guy C. Conger , (CRD# 2280420) , a stockbroker who last worked for Money Concepts Capital, discloses that he was recently suspended for six months and…

Robert Rex, Esq.
February 20, 2018

Redemption Programs Suspended On Your REIT and LP Investments?

Redemption Programs Suspended On Your REIT and LP Investments? 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 February 20, 2018 February 20, 2018

If you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…

Robert Rex, Esq.
February 12, 2018

Losses On LJM Preservation and Growth Fund May Be Recoverable

Losses On LJM Preservation and Growth Fund May Be Recoverable 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 February 12, 2018 February 12, 2018

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…

Robert Rex, Esq.
February 11, 2018

Matthew Werthe-Former Raymond James Broker-Subject of Customer Suits Alleging Fraud & Churning-Murrieta, CA

Matthew Werthe-Former Raymond James Broker-Subject of Customer Suits Alleging Fraud & Churning-Murrieta, CA 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 February 11, 2018 February 11, 2018

September 2019-Murrieta, CA According to publicly available records Matthew J. Werthe, a stockbroker who is not currently registered and who was last employed by Raymond James Financial Services , disclose…

Robert Rex, Esq.
February 10, 2018

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico 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 February 10, 2018 February 10, 2018

February 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…

Robert Rex, Esq.
February 7, 2018

Jesse Griffin – Former VSR Financial Services Broker- Discloses Numerous Customer Disputes – Palm City, FL

Jesse Griffin – Former VSR Financial Services Broker- Discloses Numerous Customer Disputes – Palm City, 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 February 7, 2018 October 4, 2023

February 2018 – Palm City, FL The FINRA records of Jesse Julian Griffin, Jr. , a stockbroker who was formerly employed by VSR Financial Services discloses settlement of 5 customer disputes involving alternative…

Robert Rex, Esq.
February 7, 2018

Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska

Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska 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 February 7, 2018 October 4, 2023

February 2018-Stuart, NE The FINRA records of Jay Alan Wallinger , a stockbroker who was formerly employed by VSR Financial Services disclose the recent settlement of a customer dispute involving an alleged overconcentration…

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