Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint

Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint 150 150 Robert Rex, Esq.

March 2017-Altamonte Springs, Florida According to publicly available records Eddie Basora, Jr.  , (CRD# 4388378) ,  a   former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed…

read more

How to Recover Losses on United Development Funding IV (UDF IV)

How to Recover Losses on United Development Funding IV (UDF IV) 150 150 Robert Rex, Esq.

March 2017 Investors who have suffered losses on United Development IV (UDF IV)  may be able to recover damages through FINRA arbitration,  a dispute resolution process that is much more…

read more

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Robert Rex, Esq.

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

read more

Chad Sayers Indicted for Fraud-Dallas, Texas

Chad Sayers Indicted for Fraud-Dallas, Texas 150 150 Robert Rex, Esq.

March 2017-Sherman, Texas Carlton Chadbourne Sayers (‘Chad”), 51, of Dallas was indicted for fraud by a Federal Grand Jury for the Eastern District of Texas according to a press release…

read more

Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN

Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Robert Rex, Esq.

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

read more

Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA

Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA 150 150 Robert Rex, Esq.

February 2017-Coral Gables, FL According to publicly available records Joel H. Kassewitz , (CRD# 1674124) ,  a   stockbroker who is  not currently registered discloses one pending and seven prior, final customer disputes.…

read more

Jeffrey J. Drapala-Raymond James Broker-Discloses Customer Dispute-Delray Beach, FL

Jeffrey J. Drapala-Raymond James Broker-Discloses Customer Dispute-Delray Beach, FL 150 150 Robert Rex, Esq.

February 2017-Delray Beach, FL According to publicly available records Jeffrey J. Drapala , (CRD# 1674124) ,  a   stockbroker who is  currently employed by Raymond James Financial Services discloses a pending customer dispute.…

read more

Jack C Bixler-Sandlapper Securities Broker-Discloses Pending Regulatory Matter-Greenville, S.C.

Jack C Bixler-Sandlapper Securities Broker-Discloses Pending Regulatory Matter-Greenville, S.C. 150 150 Robert Rex, Esq.

February 2017-Greenville, South Carolina According to publicly available records Jack Charles Bixler , (CRD# 22331) ,  a   stockbroker who is currently employed by Sandlapper Securities, discloses a pending regulatory matter. The Financial…

read more

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Robert Rex, Esq.

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

read more

You cannot copy content of this page