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Monthly Archives :

April 2016

Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records

Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records 150 150 Rex Securities Law

See this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…

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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 150 150 Rex Securities Law

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

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Robert Hahn, Former Tyler Insurance Agent, Sentenced to 36 Months

Robert Hahn, Former Tyler Insurance Agent, Sentenced to 36 Months 150 150 Rex Securities Law

April 2016-Tyler, Texas Robert Hahn, a 64 year old former Tyler insurance agent was sentenced to serve 36 months in federal prison for wire fraud and money laundering , according…

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Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S Carolina

Claus Foerster Indicted for $2.8M Fraud-Spartanburg, S Carolina 150 150 Rex Securities Law

March 2016 The US Attorney’s Office for District of South Carolina announced that Claus C. Foerster, age 55, of Spartanburg, South Carolina was charged in a 5 count indictment with…

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Richard Gomez Investigation Update-Avenir Financial-Legend Securities

Richard Gomez Investigation Update-Avenir Financial-Legend Securities 150 150 Rex Securities Law

April 2016- 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…

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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities

Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY 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…

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David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston

David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston 150 150 Rex Securities Law

April 2016- Boston 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…

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Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK

Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK 150 150 Rex Securities Law

April 2016- Oklahoma City, OK UPDATED February 2018-See this for current details. UPDATE MAY 2017–FINRA Records disclose that Jay D. Jordan currently has 9 pending and 4 prior customer disputes. The…

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