recover losses for stockbroker churning Archives

Robert Rex, Esq.
May 11, 2017

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
July 20, 2016

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints

Joseph O. Clemente, Jr. -Former J.D. Nicholas Broker-Discloses Customer Complaints 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 July 20, 2016 July 20, 2016

July 2016-Garden City, New York The FINRA records of Joseph O. Clemente, Jr. , a currently unlicensed stock broker who was last employed by Worden Capital Management , disclose a pending customer dispute and a prior finalized…

Robert Rex, Esq.
July 20, 2016

Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints

Michael A. Valdini-Worden Capital Management Broker-Discloses Churning Complaints 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 July 20, 2016 July 20, 2016

Rockville Center, New York UPDATE MAY 2017–Michael Valdini discloses two additional currently pending customer disputes: FINRA Case 16-3569- a customer of J.D. Nicholas & Assoc. alleges damages of $2.1 million…

Robert Rex, Esq.
July 18, 2016

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes

Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016-New York The FINRA records of Michael S. Lavolpe , a currently unlicensed stockbroker who was most recently employed by Meyers Associates , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

Robert Rex, Esq.
July 18, 2016

Chad E. Thompson-Former IFS Securities Broker-Discloses Customer Dispute

Chad E. Thompson-Former IFS Securities 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016 The FINRA records of Chad E. Thompson , a currently unlicensed stockbroker who was last employed by IFS Securities , disclose a final regulatory event and a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Robert Rex, Esq.
July 18, 2016

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 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 July 18, 2016 July 18, 2016

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt , a former stock broker who was last employed by Newport Coast Securities , disclose a pending regulatory event, a prior customer dispute , a pending customer…

Robert Rex, Esq.
July 18, 2016

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar

Antonio Costanzo-Former Newport Coast Securities Broker-Discloses Churning Complaint-Industry Bar 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 July 18, 2016 July 18, 2016

July 2016-Chesapeake, VA The FINRA records of Antonio Costanzo , a former stock broker who was last employed by TItus Rockefeller , disclose a pending regulatory event, a prior final regulatory event, 8 prior customer disputes and a termination…

Robert Rex, Esq.
July 18, 2016

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA

David M. Levy-Former Newport Coast Securities Broker-Barred 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

UPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…

Robert Rex, Esq.
June 22, 2016

Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses Customer Disputes

Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2016 June 22, 2016

New York According to FINRA records, Benjamin G. Aibel , a stockbroker who formerly worked for Wunderlich Securities , discloses two pending customer disputes and 4 prior customer disputes that are resolved. The Financial Industry Regulatory…