stockbroker negligence Archives

Robert Rex, Esq.
August 30, 2017

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI

Ernest Romer III-Former CoreCap Investments Broker-Alleged to Have Stolen Funds from Securities Customers-Sterling Heights, MI 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 August 30, 2017 August 30, 2017

APRIL 2018 UPDATE–The FINRA record of Ernest Romer III now discloses 15 pending customer disputes and 5 prior final customer disputes and 2 pending investigations. The investigations by Michigan Department…

Robert Rex, Esq.
August 30, 2017

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, NJ

Rocco Lavista-Former Aegis Capital Corp. Broker-Discloses Customer Suits Alleging Churning – Iselin, 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 August 30, 2017 August 30, 2017

September 2019-Tinton Falls, NJ According to publicly available records Rocco J. Lavista (CRD#2784573) , a currently unregistered stockbroker who was last registered with Arive Capital Markets , discloses settlement of 2 customer disputes. The Financial…

Robert Rex, Esq.
August 22, 2017

Banca IMI Securities Pays $35M to Resolve SEC Issue

Banca IMI Securities Pays $35M to Resolve SEC Issue 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 August 22, 2017 August 22, 2017

August 2017 The US Securities and Exchange Commission (SEC) announced that brokerage firm Banca IMI Securities Corp. (BISC) agreed to pay over $35 million to settle charges that it violated…

Robert Rex, Esq.
August 8, 2017

Losses on Cole Capital REITs ?

Losses on Cole Capital REITs ? 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 August 8, 2017 August 8, 2017

Brokerage firms nationwide sold a number real estate investment trusts (REITs) sponsored by Cole Capital, including: Cole Office and Industrial Cole Advisor Corporate Income Cole Advisor Retail Income REIT Cole…

Robert Rex, Esq.
August 8, 2017

Losses on Cole Office and Industrial REIT ?

Losses on Cole Office and Industrial REIT ? 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 August 8, 2017 August 8, 2017

If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm…

Robert Rex, Esq.
August 1, 2017

Texas Securities Board Appoints New Commissioner-Austin, TX

Texas Securities Board Appoints New Commissioner-Austin, 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 August 1, 2017 August 1, 2017

August 2017-Austin, Texas Travis J. Lies was appointed Securities Commissioner of the Texas State Securities Board (TSSB) effective September 1, 2017. Lies has worked for the TSSB for 16 years and…

Robert Rex, Esq.
July 23, 2017

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs 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 July 23, 2017 July 23, 2017

July 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…

Robert Rex, Esq.
July 23, 2017

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas Regulator

Michael K. Parish-San Antonio Investment Adviser Sanctioned by Texas 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 July 23, 2017 July 23, 2017

July 2017 -San Antonio, TX The Texas State Securities Board (TSSB)entered a disciplinary order against San Antonio investment adviser Michael Keith Parish for violations of Board Rule 116.17, known as the “custody…

Robert Rex, Esq.
July 11, 2017

Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas

Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, 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 July 11, 2017 July 11, 2017

July 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…

Robert Rex, Esq.
July 10, 2017

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL

Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 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 July 10, 2017 July 10, 2017

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) , a stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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