recover annuity losses

  • Robert Rex, Esq.

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III
LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Robert Rex, Esq.

March 2024 Update– See this for our investigation of LPL and some of their brokers.    UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution…

read more
  • ER

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC
George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Settlement of Customer Dispute and Termination-Washington, DC 150 150 ER

George Fellows Investigation January 2024- Washington, DC The FINRA records of  George W. Fellows, Jr.,   a former Merrill Lynch broker,  disclose a regulatory event,  a settled customer dispute and a termination.…

read more
  • ER

Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN
Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN 150 150 ER

Cynthia Barriera Investigation June 2023 – Knoxville, TN According to publicly available records  Cynthia Barreira,  a  NYLife Securities broker, discloses a pending customer dispute in connection with the purchase of annuities.…

read more
  • Robert Rex, Esq.

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX
Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Robert Rex, Esq.

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

read more
  • Robert Rex, Esq.

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 150 150 Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas
Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Robert Rex, Esq.

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

read more
  • Robert Rex, Esq.

Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator
Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator 150 150 Robert Rex, Esq.

November 2016-Houston, Texas The Financial Industry Regulatory Authority (FINRA) fined Valic Financial Advisors  (VFA)$1.75 million for conflicts of interest related to the way it compensates brokers selling annuities. FINRA found…

read more
  • Robert Rex, Esq.

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales
Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 150 150 Robert Rex, Esq.

September 2016-Helotes, Texas The FINRA records of  Daniel A. Cabrera,  a  stockbroker who is currently employed by  BBVA Securities  disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more
  • Robert Rex, Esq.

John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M
John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M 150 150 Robert Rex, Esq.

Grand Junction, CO The FINRA records of John R. Stevens ,  a  stock broker who is currently not licensed and who was last employed by Wilbanks Securities  disclose   2 prior customer disputes, 3 pending…

read more
  • 1
  • 2
Enter your
text here
Verified by MonsterInsights