unsuitable investments Archives

ER
July 18, 2026

Rex Securities Law Investigates James Bernthal-Former Aegis Capital Broker

Rex Securities Law Investigates James Bernthal-Former Aegis Capital Broker https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g July 18, 2026 July 24, 2026

James Bernthal Investigation July 2026-New York, NY According to publicly available records James R. Bernthal a broker formerly with Aegis Capital Corp., discloses 7 prior customer disputes. The Financial Industry…

Robert Rex, Esq.
May 15, 2026

Rex Securities Law Investment Fraud Attorney Investigates Mark Ketner- a Broker with PHX Financial

Rex Securities Law Investment Fraud Attorney Investigates Mark Ketner- a Broker with PHX Financial 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 15, 2026 August 11, 2026

May 2026- Hauppauge , New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

ER
March 1, 2026

David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators-Chicago, IL

David J. Morris- Former Stifel, Nicolaus & Company Broker-Barred From Securities Industry by Regulators-Chicago, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g March 1, 2026 May 30, 2026

David Jeffrey Morris Investigation March 2026-Chicago, IL According to publicly available records David Jeffrey Morris a former broker who last worked for Stifel, Nicolas & Company, discloses a final regulatory matter…

ER
January 19, 2026

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses Customer Disputes Over Annuities and Mutual Funds- Bangor, ME https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g January 19, 2026 February 25, 2026

Robert “Bob” Thomas Investigation January 2026-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses the settlement of …

ER
February 11, 2025

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g February 11, 2025 February 12, 2025

Robert Li Investigation February 2025-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…

ER
June 27, 2023

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ

David Lee Todd-Wells Fargo Clearing Services Broker-Discloses Customer Disputes-Peoria, AZ https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g June 27, 2023 October 4, 2023

David Lee Todd Investigation June 2023-Peoria, AZ According to publicly available records David Lee Todd a Wells Fargo Clearing Services broker, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

ER
June 26, 2023

Stephn Marek-Joseph Gunnar Broker-Discloses Customer Disputes-Uniondale, NY

Stephn Marek-Joseph Gunnar Broker-Discloses Customer Disputes-Uniondale, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g June 26, 2023 October 4, 2023

Stephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute.…

ER
June 22, 2023

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL

Maria Acevez Perez- Former VectorGlobal Broker-Suspended 6 Months by Securities Regulator -Miami, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g June 22, 2023 October 4, 2023

Maria Acevez Perez Investigation June 2023-Miami, FL According to publicly available records Maria Acevez Perez a broker employed by VectorGlobal WMG, discloses a regulatory matter resulting in a six month suspension…

ER
June 21, 2023

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g June 21, 2023 September 30, 2023

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd., discloses a final regulatory matter resulting in a 3 month…

ER
June 21, 2023

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC

Shawn Good- Former Morgan Stanley Broker-Regulator Alleges He Operated a $4.8 Million Ponzi Scheme – Wilmington, NC https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/2d44fc1bb37bf9f3e58c25efde680e115458389810b3021a82de67eab0575506?s=96&d=mm&r=g June 21, 2023 October 2, 2023

Shawn Good Investigation June 2023-Wilmington, NC According to publicly available records Shawn Good a former broker who last worked for Morgan Stanley discloses a final regulatory matter resulting in a permanent…

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