unsuitable investments Archives

ER
June 13, 2023

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, FL

John “JC” Carroll- Former Vanderbilt Securities Broker-Suspended Indefinitely From Securities Industry by Regulators -Juno Beach, 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 13, 2023 October 3, 2023

John “JC” Carroll Investigation June 2023-Juno Beach, FL According to publicly available records John Carroll IV a former broker who previously was employed by Vanderbilt Securities, discloses a final regulatory matter…

ER
June 13, 2023

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX

Chris Arnold- Former USCA Securities Advisor-Barred From Industry by Securities Regulators -Houston, TX 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 13, 2023 October 5, 2023

Chris Arnold Investigation June 2023-Houston, TX According to publicly available records Chris Arnold a former broker who last worked for USCA Securities, discloses a regulatory matter resulting in a permanent bar…

ER
May 3, 2023

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY

Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, 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 May 3, 2023 October 4, 2023

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott, discloses a final regulatory matter resulting in…

Robert Rex, Esq.
May 13, 2022

Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, MN

Kurt Russell Baldry Investigation- Ausdal Financial Broker- Subject of Customer Suit Seeking $980K – Ostego, 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 May 13, 2022 October 4, 2023

Kurt R. Baldry Investigation May 2022- Ostego, MN According to publicly recorded records, Kurt Russell Baldry, a broker with Ausdal Financial Services discloses a pending customer dispute and 2 prior…

Robert Rex, Esq.
July 24, 2018

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-Frisco, TX

Clarence McGill-Former GWN Securities Broker-Barred From Securities Industry by Regulator-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 July 24, 2018 July 24, 2018

July 2018- Frisco, Texas The FINRA records of Clarence L. McGill , a former stock broker who was most recently employed by GWN Securities , disclose that he was recently barred from the securities industry. The Financial Industry…

Robert Rex, Esq.
March 24, 2017

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 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 24, 2017 March 24, 2017

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

Robert Rex, Esq.
May 19, 2016

Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits

Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits 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 19, 2016 May 19, 2016

September 2018-Woodbury, New York According to FINRA records, Theodore Allocca, Jr. , a broker who is currently registered with Trident Partners Ltd. , disclose a pending customer dispute and two prior final customer…

Robert Rex, Esq.
May 15, 2016

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading

Mark Ketner-Maxim Group Broker-Discloses Customer Dispute for Excessive Trading 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, 2016 May 15, 2016

May 2016-Woodbury, 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 customer complaints and disputes…

Robert Rex, Esq.
March 24, 2016

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia 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 24, 2016 March 24, 2016

MARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…

Robert Rex, Esq.
January 12, 2016

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-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 January 12, 2016 January 12, 2016

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

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