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Monthly Archives :

March 2016

Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Rex Securities Law

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL
Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Rex Securities Law

JUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern,  is not currently licensed to act as a broker or as an investment adviser according to…

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Securities America Fined $250,000 by Regulators- Coral Springs, FL
Securities America Fined $250,000 by Regulators- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

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Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL
Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Rex Securities Law

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Rex Securities Law

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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Stock Broker Sanctioned for Sale of GWG Debentures to Retirees
Stock Broker Sanctioned for Sale of GWG Debentures to Retirees 150 150 Rex Securities Law

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

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Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail Fraud
Hillsboro Beach Florida Man Pleads Guilty to Conspiracy to Commit Wire and Mail Fraud 150 150 Rex Securities Law

February 29, 2016- Miami, Florida The Sun Sentinel reports that Thomas A. Guerriero, 39, of Hillsboro Beach, FL, pleaded guilty to one count of conspiring to commit mail and wire…

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