securities attorney Archives

Robert Rex, Esq.
May 16, 2016

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-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 May 16, 2016 May 16, 2016

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

Robert Rex, Esq.
May 16, 2016

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, 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 May 16, 2016 May 16, 2016

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

Robert Rex, Esq.
May 16, 2016

Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA

Thomas Guerriero Sentenced on Oxford City Football Club Boiler Room Scam-South FLA 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 May 16, 2016 May 16, 2016

May 13, 2016 The Sun Sentinel reports that Thomas Guerriero, former director of British-based Oxford City Football Club was sentenced to 12 years and 7 months for his role in…

Robert Rex, Esq.
May 15, 2016

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ

Robert E. Gill-Chelsea Financial Services-Reports 18 Disclosure Events on FINRA Record-Tinton Falls, NJ 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 May 15, 2016 May 15, 2016

Tinton Falls, NJ The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
May 14, 2016

Maroof Miyana-Former Legend Securities Broker-Indicted on Securities Fraud Charges

Maroof Miyana-Former Legend Securities Broker-Indicted on Securities Fraud Charges 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 May 14, 2016 May 14, 2016

May 2016-Pompano Beach, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
May 14, 2016

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration 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 May 14, 2016 May 14, 2016

May 2016-Farmingdale, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Robert Rex, Esq.
April 19, 2016

Richard Gomez Investigation Update-Avenir Financial-Legend Securities

Richard Gomez Investigation Update-Avenir Financial-Legend Securities 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 April 19, 2016 April 19, 2016

April 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Robert Rex, Esq.
April 19, 2016

David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston

David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston 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 April 19, 2016 April 19, 2016

April 2016- Boston The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Robert Rex, Esq.
April 12, 2016

Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator

Carl Busch-WFG Investments Broker-Sanctioned by Securities 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 April 12, 2016 April 12, 2016

December 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

Robert Rex, Esq.
April 12, 2016

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 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 April 12, 2016 September 29, 2023

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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