stockbroker malpractice Archives

Robert Rex, Esq.
April 29, 2019

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 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 29, 2019 April 29, 2019

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell (CRD#2220029) , a stockbroker who is currently not registered, discloses a regulatory event, 2 pending and 3 final…

Robert Rex, Esq.
April 27, 2019

Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, TX

Stacey Sanders Sentenced to Federal Prison on Bank Fraud Charge-Fredericksburg, 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 April 27, 2019 April 27, 2019

February 2019-Fredericksburg, TX A federal judge in San Antonio has sentenced 52-year-old Stacey A. Sanders of Fredericksburg, TX, to 27 months imprisonment. The former office manager of Memorial Presbyterian Church,…

Robert Rex, Esq.
April 26, 2019

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas

Kelley Ranae Jones Sentenced to 3 Years for Embezzlement From Arrowhead Bank-Llano, Texas 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 26, 2019 April 26, 2019

April 2019- Llano, Texas The US Attorney’s Office for the Western District of Texas announced that 45 year old Kelley Ranae Jones was sentenced to three years in federal prison…

Robert Rex, Esq.
April 25, 2019

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-Boca Raton, FL

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-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 April 25, 2019 April 25, 2019

April 2019 – Little Silver, NJ/Boca Raton, FL According to publicly available records Buckman, Buckman & Reid and Harry John (“Chip”) Buckman , were recently sanctioned by FINRA for failing to supervise…

Robert Rex, Esq.
April 24, 2019

Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, NJ

Richard Ragold-Capitol Securities Management Broker-Discloses Customer Disputes-Florsham Park, 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 April 24, 2019 April 24, 2019

January 2020 – Florsham Park, NJ According to publicly available records Richard Thomas Ragold (CRD#1808168) , a stockbroker who is currently registered with Capitol Securities Management, Inc., disclose 2 settled…

Robert Rex, Esq.
April 24, 2019

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, TX

Stephen Hoshimi -Former Crescent Securities Group Broker- Discloses $23M+ in Settled Customer Disputes- Dallas, 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 April 24, 2019 April 24, 2019

April 2019- Dallas, TX According to public records of Stephen J. Hoshimi (CRD#1977772) a stockbroker previously employed by Crescent Securities Group, Capwest Securities and Securities America, disclose 4 regulatory events,…

Robert Rex, Esq.
April 2, 2019

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, 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 April 2, 2019 April 2, 2019

April 2019 – Kingwood, TX According to publicly available records Phillip Andrew Johnson (CRD# 501352) , a former stockbroker who was last employed by D.H. Hills Securities, disclose 4 regulatory events, 2…

Robert Rex, Esq.
March 28, 2019

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN

Steven Knuttila-Former Capital Financial Services Broker-Discloses 2 Regulatory Events, 23 Customer Suits and a Termination-Perham, MN 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 March 28, 2019 March 28, 2019

September 2019 – Perham, MN CAPITAL FINANCIAL SERVICES CLOSING DOWN FIRM–see this for more information about the closing down of the firm and transfer of accounts to Calton & Associates. …

Robert Rex, Esq.
March 26, 2019

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, TX

Judith Johnston-Former NY Life Financial Advisor-Subject of Numerous Customer Complaints Over Annuities-Frisco, 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 March 26, 2019 March 26, 2019

March 2019- Frisco, Texas We are currently investigating former NY Life Securities financial advisor Judith Adele Johnston . According to publicly available records , Judith Johnston , discloses a recent regulatory matter,…

Robert Rex, Esq.
March 21, 2019

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, 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 March 21, 2019 March 21, 2019

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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