stockbroker negligence Archives

Robert Rex, Esq.
May 28, 2018

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, TX

Michael T. Marcom – NEXT Financial Group Broker-Discloses Settled Disputes – Georgetown, 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 May 28, 2018 May 28, 2018

May 2018 – Georgetown, TX According to FINRA records, Michael T. Marcom , a stockbroker who is currently employed by NEXT Financial Group ., disclose 4 prior customer disputes. The Financial Industry Regulatory…

Robert Rex, Esq.
May 24, 2018

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ

Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ 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 24, 2018 May 24, 2018

May 2018-Scottsdale, AZ The FINRA records of Wayne I. Miller , a stockbroker who formerly worked for Accelerated Capital Group disclose a pending regulatory suspension, a pending customer dispute and 2 prior customer…

Robert Rex, Esq.
May 24, 2018

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ

Bradley Tennison-Discharged by Geneos Wealth Mgmt. After Customer Files Complaint-Mesa, AZ 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 24, 2018 May 24, 2018

May 2018-Mesa, AZ The FINRA records of Bradley J. Tennison , a stockbroker who is not currently registered and who last was employed by Geneos Wealth Management disclose a pending customer dispute ,…

Robert Rex, Esq.
May 24, 2018

Dennis Farrah & Mark Raezer-Former TCM Securities Brokers-Sanctioned Over Madyson Capital REIT-Aurora, CO

Dennis Farrah & Mark Raezer-Former TCM Securities Brokers-Sanctioned Over Madyson Capital REIT-Aurora, CO 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 24, 2018 May 24, 2018

October 2020 -Aurora, Colorado The FINRA records of Dennis M. Farrah , a former stockbroker who was barred from the securities industry and who last was employed by Taylor Capital Management (now known…

Robert Rex, Esq.
May 20, 2018

How to Recover Losses on Future Income Payments Losses

How to Recover Losses on Future Income Payments Losses 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 20, 2018 May 20, 2018

July 2018 UPDATE Investors in Future Income Payments LLC (FIP) who made their investment upon the recommendation of a registered stockbroker, a registered investment advisor, accountant or a licensed insurance…

Robert Rex, Esq.
May 17, 2018

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT

Daniel H. Morris-Former Oppenheimer Broker-Discloses Customer Suit-Westport, CT 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 17, 2018 May 17, 2018

January 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

Robert Rex, Esq.
May 16, 2018

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, 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, 2018 May 16, 2018

January 2020 -Palm Harbor, Florida The FINRA records of Charles Joseph Lawrence, a former stockbroker who was last employed by R. F. Lafferty & Co. disclose a final regulatory matter resulting…

Robert Rex, Esq.
May 14, 2018

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO

Sonya Camarco-Former LPL Financial Broker-Charged With Securities Fraud/Theft-Colorado Springs, CO 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, 2018 April 5, 2024

May 2018-Colorado Springs, CO The FINRA records of Sonya D. Camarco , a former LPL FInancial broker was recently permanently barred from the securities industry by FINRA for failing to respond to…

Robert Rex, Esq.
May 14, 2018

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, NY

Gregory T. Dean-Former Worden Capital Mgmt. Broker-Barred for Churning Customer Accounts-Garden City, 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 14, 2018 May 14, 2018

August 2019-Garden City, NY The FINRA records of Gregory T. Dean , a former broker who was last employed by Worden Capital Management LLC disclose 3 prior regulatory matters, a prior civil matter,…

Robert Rex, Esq.
May 13, 2018

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, FL

Norman Sicard-Formerly of Broker Dealer Finanical Services-Discloses Settlement Customer Claim for $450K-Orlando, 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 13, 2018 May 13, 2018

FEBRUARY 2019-Orlando, Florida The FINRA records of Norman R. Sicard, Jr. , a former stock broker who was last employed by Broker Dealer Financial Services Corp. disclose that he was sanctioned by…

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