recover investment losses Archives

Robert Rex, Esq.
October 17, 2016

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY

Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY 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 October 17, 2016 October 17, 2016

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of Barry M. Kiront, a stockbroker who is currently employed by Craft Capital Management disclose 10 prior…

Robert Rex, Esq.
October 11, 2016

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-San Antonio, TX

Brian Alfaro’s Request to Dismiss Fraud Charges Denied-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 October 11, 2016 October 11, 2016

October 3, 2016-San Antonio, Texas mySA reports that bankruptcy court judge Craig Gargotta denied Brian Alfaro’s request to dismiss allegations of fraud, civil conspiracy, negligent misrepresentation, and violations of securities…

Robert Rex, Esq.
October 9, 2016

Investors Capital Corporation Fined $250,000 by Securities Regulators

Investors Capital Corporation Fined $250,000 by Securities Regulators 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 October 9, 2016 October 9, 2016

October 2014 The FINRA records of Investors Capital Corp., a broker dealer headquartered in Lynnfield, MA, that employs about 640 people in 313 branch offices nationwide, disclose a recent regulatory matter. The…

Robert Rex, Esq.
October 9, 2016

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA

San Antonio Based Investment Professionals Inc. (IPI) Fined $170,000 by FINRA 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 October 9, 2016 October 9, 2016

July 2016-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

Robert Rex, Esq.
September 27, 2016

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes

Bob Wamhoff-Former VSR Financial Broker-Discloses Pending Customer Disputes 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 September 27, 2016 October 4, 2023

UPDATE MARCH 2018-Follow this link for most recent update. UPDATE SEPTEMBER 2017–Robert Wamhoff discloses 2 currently pending customer disputes: 7/2017-a customer of VSR Financial Services alleges poor performance of oil…

Robert Rex, Esq.
September 12, 2016

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, FL

Athanasios Tomaras-Former Fulcrum Securities Broker-Discloses Suit Over Energy Investments-Oldsmar, 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 September 12, 2016 September 12, 2016

Oldsmar, Florida-UPDATE OCTOBER 2017-In October 2016 a customer of Fulcrum Securities file FINRA arbitration 16-02962 seeking damages of $189,000 and alleging that Mr. Tomaras made unsuitable investment recommendations in equities…

Robert Rex, Esq.
August 31, 2016

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, 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 August 31, 2016 August 31, 2016

August 2016-New Braunfels, Texas The FINRA records of James E. Mahan, a former stockbroker who most recently worked for Raymond James Financial Services disclose a recent regulatory matter resulting in his permanent…

Robert Rex, Esq.
August 31, 2016

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft

Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 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 August 31, 2016 August 31, 2016

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

Robert Rex, Esq.
August 22, 2016

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative Investments

Charles C. Shafe-Transam Securities Broker-Discloses Customer Disputes Over Alternative 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 August 22, 2016 August 22, 2016

MAY 2018 UPDATE-Charles C. Shafe discloses a pending customer dispute in which a customer of Transam Securities alleges damages of $15,597 in connection with a real estate investment. ORIGINAL POST…

Robert Rex, Esq.
August 19, 2016

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned by Regulator

Steven Ray Hinkle-Former Dynasty Capital Partners Broker-Sanctioned 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 August 19, 2016 August 19, 2016

Englewood, CO The FINRA records of Steven Ray Hinkle, a stock broker who currently is employed by Neidiger, Tucker, Bruner discloses a final FINRA regulatory event. The Financial Industry Regulatory Authority (FINRA) is the…

Featured Investigations