securities attorney Archives

Robert Rex, Esq.
June 22, 2016

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination 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 June 22, 2016 June 22, 2016

New York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Robert Rex, Esq.
June 22, 2016

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH 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 June 22, 2016 June 22, 2016

Beachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…

Robert Rex, Esq.
June 22, 2016

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits 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 June 22, 2016 June 22, 2016

April 2019- New York According to FINRA records, Ronald A. Frumkes, a stockbroker who is not currently registered with any firm and who last worked for Wunderlich Securities , discloses three prior…

Robert Rex, Esq.
June 21, 2016

William D. Keltner-MWA Financial Services Broker-Discloses Customer Dispute

William D. Keltner-MWA Financial Services 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 21, 2016 June 21, 2016

Jackson, TN According to FINRA records, William D. Keltner , a stockbroker who currently works for MWA Financial Services, discloses a recently resolved customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Robert Rex, Esq.
June 17, 2016

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme

Miami Resident John Utsick Pleads Guilty In $200M Fraud Scheme 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 June 17, 2016 June 17, 2016

June 15, 2016-Miami, Florida The US Attorney’s Office for the Southern District of Florida announced that John Utsick, 75, of Miami Beach, FL, pled guilty for his role in a…

Robert Rex, Esq.
June 17, 2016

Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward

Ronald Earl McCullough-Raleigh, NC-FBI Offers Reward 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 June 17, 2016 June 17, 2016

June 16. 2016-Charlotte, North Carolina The FBI announced a $5,000 reward for assistance in locating Ronald Earl McCullough who, by portraying himself as a religious leader, was able to over…

Robert Rex, Esq.
June 14, 2016

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute

Sean W. Mollard-Former Dawson James Broker-Discloses $1M 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g June 14, 2016 April 11, 2024

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…

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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?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.
June 10, 2016

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 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 June 10, 2016 June 10, 2016

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

Robert Rex, Esq.
June 8, 2016

Felix A. Bartolomei-Cuso Financial Services Broker-Discloses Pending Customer Disputes

Felix A. Bartolomei-Cuso Financial Services 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 June 8, 2016 June 8, 2016

Orlando, Florida According to FINRA records, Felix Alberto Bartolomei , a stockbroker employed by Cuso Financial Services , discloses 3 pending customer disputes and 2 final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Featured Investigations