Raymond James Financial problem Archives

Robert Rex, Esq.
August 5, 2016

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration

Debra R. Lambert-Raymond James Broker-Discloses Pending Customer Arbitration https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 August 5, 2016

August 2016-The Villages, Florida The FINRA records of Debra R. Lambert , a stock broker who is currently employed by Raymond James & Assoc. , disclose a pending customer dispute brought by a customer of Merrill Lynch, Lambert’s…

Robert Rex, Esq.
June 20, 2016

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA

John N. Crook-Former Raymond James Broker-Discloses $4.8 M Customer Suit-Macon, GA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 20, 2016 June 20, 2016

September 2019-Macon, Georgia According to FINRA records, John Nelson Crook , a stockbroker who currently works for Prospera Financial Services , discloses a termination from employment, a currently pending customer dispute and a prior finalized…

Robert Rex, Esq.
June 20, 2016

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 20, 2016 June 20, 2016

Austin, Texas According to FINRA records, Rhonda Janeen Matthews (aka Rhonda Allen) , a former stockbroker who most recently worked for Prospera Financial Services , discloses a regulatory event, a termination and 2 outstanding…

Robert Rex, Esq.
June 13, 2016

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 13, 2016 June 13, 2016

Greenwood, CO According to FINRA records, Michael M. Hurtgen , a stock broker currently employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

Robert Rex, Esq.
April 19, 2016

Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S Carolina

Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 19, 2016 April 19, 2016

March 2016 The US Attorney’s Office for District of South Carolina announced that Claus C. Foerster, age 55, of Spartanburg, South Carolina was charged in a 5 count indictment with…

Robert Rex, Esq.
August 10, 2015

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio

Jeremy J McGilvrey-Former NEXT Financial Broker Claims he Has Paid Restitution to Fraud Victims-San Antonio https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 10, 2015 August 10, 2015

San Antonio, Texas August 6, 2015 KENS 5 Eyewitness News of San Antonio reports that Jeremy James McGilvrey claimed in an interview last month that he has paid restitution to…