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Monthly Archives :

April 2017

Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL
Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL 150 150 Rex Securities Law

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

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Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas
Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas 150 150 Rex Securities Law

SEE THIS FOR JANUARY 2020 UPDATE Rowlett, Texas APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  UPDATE JULY…

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John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Rex Securities Law

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Rex Securities Law

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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FRANKLIN REYNOLDS -FORMER G.A. REPPLE BROKER- DISCLOSES SETTLEMENT OF CUSTOMER DISPUTE – DAYTONA BEACH, FL
FRANKLIN REYNOLDS -FORMER G.A. REPPLE BROKER- DISCLOSES SETTLEMENT OF CUSTOMER DISPUTE – DAYTONA BEACH, FL 150 150 Rex Securities Law

April 2017- Daytona Beach, FL The FINRA records of  Franklin Reynolds, (CRD #1366983) a  stockbroker who is currently registered with The Strategic Financial Alliance disclose a customer dispute that was settled. The Financial Industry…

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Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA
Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA 150 150 Rex Securities Law

April 2017-Irvine, CA  According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) ,  a  stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp ,  discloses two final regulatory…

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CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL
CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL 150 150 Rex Securities Law

April 2017- Miami, FL The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are…

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Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL
Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL 150 150 Rex Securities Law

UPDATE February 2019-In December FINRA named Reyes in a complaint alleging that he made fraudulent representations and omissions of material fact in connection with the sale of Regulation D securities.…

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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-
Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Rex Securities Law

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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