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Monthly Archives :

April 2017

Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX
Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017-San Antonio, TX  According to publicly available records Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial  discloses  2 prior customer…

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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX
Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX 150 150 Rex Securities Law

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX  According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) ,  a  stockbroker who is not currently registered and who last was employed…

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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 150 150 Rex Securities Law

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…

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Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL
Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL 150 150 Rex Securities Law

April 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) ,  a  stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX
Leslie R. Rosenblatt of Texas Financial Resources Discloses Customer Dispute/Termination of Employment-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, TX The FINRA records of  Leslie R. Rosenblatt ,  a  stockbroker who is currently registered with SCF Securities disclose a pending customer dispute and a termination from employment. The Financial Industry Regulatory…

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Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments-
Rebecca H. True of True Capital Advisors Discloses Customer Dispute Over Alternative Investments- 150 150 Rex Securities Law

April 2017-Orlando, FL The FINRA records of  Rebecca H. True ,  a  stockbroker who is currently registered with Triad Advisors disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL
William Bruckner-Banyan Private Wealth-Discloses Regulatory Sanction/ Termination of Employment-WPB, FL 150 150 Rex Securities Law

April 2017-West Palm Beach, FL The FINRA records of  William Bruckner ,  a  stockbroker who is currently registered with Woodstock Financial Group disclose a regulatory event and  a recent termination from employment. The Financial…

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Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ
Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ 150 150 Rex Securities Law

April 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…

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Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX
Richard T. Lucker-Former Morgan Stanley Broker-Discloses $14M Customer Dispute-El Paso, TX 150 150 Rex Securities Law

April 2017-El Paso, Texas The FINRA records of  Richard T. Lucker ,  a  stockbroker who is currently  employed by  Wells Fargo Clearing Services  disclose a pending dispute in which a customer seeks damages in excess of…

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