stockbroker malpractice Archives

Robert Rex, Esq.
February 21, 2017

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, 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 February 21, 2017 February 21, 2017

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

Robert Rex, Esq.
February 16, 2017

Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston

Robert Yrshus-Former Northgate Securities Broker-Sanctioned by Texas Securities Regulator-Houston 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 February 16, 2017 February 16, 2017

February 2017- Houston, Texas The Texas State Securities Board (TSSB) sanctioned Robert Yrshus (CRD# 858876) of Houston, Texas, suspending him for 60 days and assessing an administrative fine of $5,000. According to the…

Robert Rex, Esq.
February 14, 2017

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, 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 February 14, 2017 February 14, 2017

January 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information. Publicly available records of Bill…

Robert Rex, Esq.
February 13, 2017

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction

Daniel W. Staudacher-PFS Investments Broker-Discloses Regulatory Sanction 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 February 13, 2017 February 13, 2017

January 2017- Dallas, Texas According to publicly available records Daniel W. Staudacher , (CRD# 2878221) , a stockbroker who is currently employed by PFS Investments, disclose a recent FINRA regulatory action resulting in a…

Robert Rex, Esq.
February 13, 2017

SEC Issues Alert Regarding Churning of Brokerage Accounts

SEC Issues Alert Regarding Churning of Brokerage Accounts 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 February 13, 2017 February 13, 2017

January 2017 The U.S. Securities and Exchange Commission (SEC) issued an Investor Alert to help investors identify excessive trading in their brokerage accounts. The SEC suggests that investors look for…

Robert Rex, Esq.
January 19, 2017

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment 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 January 19, 2017 January 19, 2017

January 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) , a stockbroker who is currently employed by LaSalle St. Securities, disclose a separation from employment after allegations. The…

Robert Rex, Esq.
January 18, 2017

Robert F. Stefanelli-Alexander Capital Broker-Discloses Customer Dispute Alleging High Pressure Sales

Robert F. Stefanelli-Alexander Capital Broker-Discloses Customer Dispute Alleging High Pressure Sales 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 January 18, 2017 January 18, 2017

January 2017- New York According to publicly available records Robert F. Stefanelli , (CRD# 2566917) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute. The Financial Industry…

Robert Rex, Esq.
January 18, 2017

Jason H. Klabal-Former Legend Securities Broker-Discloses Customer Disputes

Jason H. Klabal-Former Legend 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 18, 2017 January 18, 2017

January 2017- New York According to publicly available records Jason H. Klabal , (CRD# 2910714) , a stockbroker who is currently employed by Alexander Capital, disclose 2 currently pending customer disputes. The Financial Industry…

Robert Rex, Esq.
January 18, 2017

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS

Ty Bauer-Alexander Capital Broker-Discloses Customer Disputes-Oxford, MS 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 January 18, 2017 January 18, 2017

January 2017- Oxford, MS According to publicly available records Ty Kevin Bauer , (CRD# 2150885) , a stockbroker who is currently employed by Alexander Capital, disclose 2 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
January 17, 2017

Jeanpaul C. Skovronck- Alexander Capital Broker-Discloses Customer Dispute Alleging Churning

Jeanpaul C. Skovronck- Alexander Capital Broker-Discloses Customer Dispute Alleging 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/db6e6d82b4b27f43161e3a8bee2e1a31df522b362742d0aeb0e4e6f9fd5be649?s=96&d=mm&r=g January 17, 2017 January 17, 2017

January 2017- Staten Island, New York According to publicly available records Jeanpaul Charles Skovronck , (CRD# 2744738) , a stockbroker who is currently employed by Alexander Capital, disclose a currently pending customer dispute.…

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