Churning Archives - Page 26 of 28 - Rex Securities Law-BLOG

Rex Securities Law
March 24, 2016
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Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 24, 2016 June 27, 2017

MARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…

Rex Securities Law
March 22, 2016
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Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 22, 2016 March 22, 2016

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

Rex Securities Law
March 18, 2016
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Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 18, 2016 January 8, 2017

March 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…

Rex Securities Law
March 18, 2016
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Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments

Thomas Schober- Former SII Investments Stockbroker-Sued by Customer Over Annuity Investments http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 18, 2016 March 30, 2017

UPDATE MARCH 2017– Thomas Schober, formerly a broker with SII Investments discloses a pending customer dispute and two prior customer disputes that have been resolved. All of the disputes relate…

Rex Securities Law
March 13, 2016
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Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia

Stockbroker Leavitt Sanders has 53 Customer Complaints- Invest Financial Corporation/ Triad -West Point, Georgia http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 13, 2016 February 15, 2019

February 2019- West Point, Georgia We are investigating Leavitt F. Sanders, of Leavitt Financial Group, who was a registered stockbroker with the following broker dealers. He is not currently registered…

Rex Securities Law
February 24, 2016
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Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 24, 2016 January 2, 2020

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

Rex Securities Law
February 22, 2016
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Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 22, 2016 March 27, 2016

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

Rex Securities Law
February 18, 2016
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Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL

Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 18, 2016 March 7, 2016

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

Rex Securities Law
February 15, 2016
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Craig Scott Capital & Execs Accused of Churning Customer Accounts

Craig Scott Capital & Execs Accused of Churning Customer Accounts http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 August 12, 2016

UPDATE-August 2016-Brent Porges not currently registered. See this for details. January 28, 2016 Craig Scott Capital (CSC) , its co-founder and President Craig Scott Taddonio and Brent Morgan Porges, a…