HSBC Securities complaint Archives

Protecting
Investor

the

Stockbroker Malpractice
Negligence, Fraud

Featured Investigations

Will Olinger-Valmark Securities-FL

GNV RE CP Fund-Celebration Pointe-FL

Chris Burch- Cornerstone- FL

Bill Tunink -LPL Financial Loans -Iowa

LPL Financial Investigations

Matt Nelson- Prime Capital-TX

Mark Kemp- McNally Financial-TX

Richard Brown-Cetera-Ft. Myers

Firms We Have Pursued for Clients

Robert Rex, Esq.
June 6, 2016

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 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

New York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…

Robert Rex, Esq.
November 19, 2015

HSBC Securities Broker Barred From Securities Industry by Regulator

HSBC Securities Broker Barred From Securities Industry by Regulator 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 November 19, 2015 November 19, 2015

August 6, 2015- Thousand Oaks, CA Gehrin Michael Ortiz , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose…