unauthorized trading Archives

ER
April 7, 2022

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 7, 2022 October 3, 2023

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records, Peter Klein, a broker with Hightower Securities in Melville, NY, discloses 3 pending customer complaints. The Financial Industry Regulatory…

ER
April 5, 2022

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO

Joel Kichline- Former Stifel, Nicolaus Broker- Discloses 2 Regulatory Events, a Customer Dispute and 2 Terminations -Frontenac, MO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

Joel Kichline Investigation April 2022- Frontenac, MO According to publicly available records, Joel Kichline, a currently unregistered broker who was previously employed with Stifel, Nicolaus & Company in Frontenac, MO.…

ER
April 5, 2022

Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL

Faith Read Xenos- MSEC Broker- Discloses Customer Dispute -Coral Gables, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 October 3, 2023

Faith Read Xenos Investigation April 2022- Coral Gables, FL According to publicly available records, Faith Read Xenos, a broker with MSEC and Mariner Wealth Advisors in Coral Gables, FL, discloses a customer…

ER
March 31, 2022

Rex Securities Law Investment Fraud Attorney Investigates Felipe Henao Vargas formerly with Insigneo Securities

Rex Securities Law Investment Fraud Attorney Investigates Felipe Henao Vargas formerly with Insigneo Securities https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 January 18, 2024

Last Updated: January 2024 (Miami, Florida) Felipe Henao Vargas Investigation Summary Here’s what you need to know about Miami, FL, stockbroker Felipe Henao Vargas: Name: Mr. Felipe Henao Vargas Current…

Robert Rex, Esq.
February 22, 2022

Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, TX

Dawn Marie Collum- Ameriprise Broker- Discloses Customer Dispute -Kerrville, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 22, 2022 September 30, 2023

Dawn M. Collum Investigation February 2022- Kerrville, Texas According to publicly available records, Dawn M. Collum , a broker with Ameriprise Financial in Kerrville, Texas, discloses a customer complaint. The Financial Industry…

Robert Rex, Esq.
December 3, 2021

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, TX

Jesus Rodriguez- Morgan Stanley Broker- Barred from Industry by Securities Regulator-El Paso, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2021 October 3, 2023

Jesus Rodriguez Investigation December 2021- El Paso, TX According to publicly available records, Jesus Rodriguez, a former broker who last worked for Morgan Stanley discloses 5 recent customer complaints alleging misappropriation of…

Robert Rex, Esq.
December 3, 2021

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2021 October 3, 2023

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records, John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

Robert Rex, Esq.
November 3, 2021

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2021 October 3, 2023

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers November 2021-Fort Worth, TX “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

ER
November 2, 2021

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 2, 2021 September 29, 2023

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill, a former stockbroker registered with Aegis Capital Corporation, disclose a…