Churning Archives - Page 7 of 28 - Rex Securities Law-BLOG

Rex Securities Law
April 25, 2019
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Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-Boca Raton, FL

Buckman, Buckman & Reid Sanctioned For Allowing Brokers to Excessively Trade Customer Accounts-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 April 25, 2019 April 25, 2019

April 2019 – Little Silver, NJ/Boca Raton, FL According to publicly available records Buckman, Buckman & Reid and Harry John (“Chip”) Buckman , were recently sanctioned by FINRA for failing to supervise…

Rex Securities Law
March 12, 2019
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Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA.

Terry McCoy-Former Morgan Stanley Branch Manager-Sanctioned by Regulators-Palm Harbor, FLA. 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 12, 2019 March 12, 2019

March 2019 – Palm Harbor, Florida According to publicly available records , the former branch manager of Morgan Stanley’s Palm Harbor, Florida, branch, Terry L. McCoy , was permanently barred from acting…

Rex Securities Law
March 4, 2019
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Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY

Raymond Clark – Woodstock Financial Group Broker- Discloses Customer Disputes-Staten Island, NY 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 4, 2019 March 4, 2019

January 2019-Staten Island, NY According to publicly available records Raymond William Clark , a stockbroker who is currently registered with Woodstock Financial Group, disclose 8 prior customer disputes and a termination from…

Rex Securities Law
January 30, 2019
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Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 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 January 30, 2019 February 19, 2019

January 2019, Austin, TX According to publicly available records Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a cash settlement…

Rex Securities Law
November 30, 2018
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Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX

Bradley Scott-LPL Financial Broker- Discloses $1.4 Million Customer Settlement- Mansfield, TX 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 November 30, 2018 November 30, 2018

November 2018-Mansfield, TX According to publicly available records Bradley Kyle Scott , (CRD# 4381014) , a stockbroker who currently employed by LPL Financial who was previously registered with Southwest Securities, Inc., (now Hilltop…

Rex Securities Law
November 30, 2018
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Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX

Cecil Allen Ross- LPL Financial Broker- Discloses Customer Dispute- San Angelo, TX 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 November 30, 2018 November 30, 2018

November 2018-San Angelo, TX According to publicly available records Cecil Allen Ross , (CRD# 2391047) , a stockbroker who was previously registered with Raymond James Financial Services, Inc., disclose a prior customer dispute . The…

Rex Securities Law
October 30, 2018
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Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 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 October 30, 2018 October 30, 2018

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller (CRD#2669776) , a former stockbroker who was last employed by LPL Financial , disclose a settled customer dispute. The Financial Industry…

Rex Securities Law
October 1, 2018
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Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York

Greg Patterson-Four Points Capital Broker-Discloses Excessive Trading Investigation by Regulators-Montana / New York 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 October 1, 2018 October 1, 2018

September 2018- New York Gregory Don Patterson , a stockbroker who is currently registered with Four Points Capital Partners, a Texas LLC, (Four Points) discloses a prior customer dispute, a currently pending regulatory…

Rex Securities Law
September 24, 2018
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Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI

Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI 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 September 24, 2018 September 24, 2018

September 2018 – Brookfield, WI According to publicly available records Joel Blumenschein (CRD#1372334) , a stockbroker who formerly was registered with Freedom Investors Corp. , disclose a Regulatory Event and a pending customer dispute…