waddell & reed complaint Archives

Robert Rex, Esq.
April 30, 2017

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, 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 April 30, 2017 April 30, 2017

April 2017-Dallas, TX According to publicly available records Neal Charles Moon, (CRD#3271716) , a stockbroker who is not currently registered and who last was employed by Waddell & Reed discloses a prior regulatory event, a prior…

Robert Rex, Esq.
February 21, 2017

William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 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 21, 2017 February 21, 2017

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) , a stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

Robert Rex, Esq.
November 23, 2016

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry 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 23, 2016 April 11, 2024

November 2016-Mesa, AZ The FINRA records of Dominic T. DeBruin, a former stockbroker with LPL Financial, disclose that he has been permanently barred from acting as a broker or otherwise associating with…

Robert Rex, Esq.
June 6, 2016

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 6, 2016 June 6, 2016

October 2017-Austin, Texas According to FINRA records, Paul Jacobs, a stockbroker who is currently employed by Cape Securities, discloses a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Robert Rex, Esq.
May 22, 2016

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice 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 May 22, 2016 May 22, 2016

Chicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…

Robert Rex, Esq.
May 20, 2016

Judy A. Bat-Waddell & Reed-Discloses $400K Customer Arbitration Over Unauthorized Wire Transfer

Judy A. Bat-Waddell & Reed-Discloses $400K Customer Arbitration Over Unauthorized Wire Transfer 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 May 20, 2016 May 20, 2016

Castle Rock, CO According to FINRA records, Judy A. Bat , a broker who is currently registered with Waddell & Reed , discloses a recently filed arbitration by a customer seeking damages of $400,000.…

Robert Rex, Esq.
May 20, 2016

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint 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 May 20, 2016 May 20, 2016

Chandler, AZ According to FINRA records, Jason L. Freiwald , a broker who is currently registered with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Robert Rex, Esq.
March 30, 2016

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 March 30, 2016

March 23, 2016-Louisville, KY Steven D. Ridgley entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while employed by Waddell…

Robert Rex, Esq.
January 21, 2016

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized 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/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 21, 2016 January 21, 2016

January 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…