Concentrated Positions Archives - Page 6 of 12

Rex Securities Law
October 19, 2017
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William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 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 19, 2017 December 19, 2018

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…

Rex Securities Law
October 19, 2017
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Abraham Heimann-Former Oppenheimer/Cetera Stockbroker-Subject of Suits Over Energy Investments-Alpharetta, GA

Abraham Heimann-Former Oppenheimer/Cetera Stockbroker-Subject of Suits Over Energy Investments-Alpharetta, GA 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 19, 2017 April 10, 2018

April 2018-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who last was employed by Cetera Advisors, and who is not currently registered with any brokerage firm, discloses…

Rex Securities Law
October 19, 2017
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Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator

Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator 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 19, 2017 July 20, 2021

July 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…

Rex Securities Law
October 18, 2017
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Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, FL

Paul V Blum-Former RBC Capital Broker- Sued by Clients for Unsuitable Trading-W. Palm Beach, 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 October 18, 2017 October 18, 2017

October 2017-West Palm Beach, FL The FINRA records of Paul Vincent Blum , a stockbroker who was previously employed by RBC Capital Markets disclose a prior regulatory event, 9 pending customer disputes and 14…

Rex Securities Law
October 16, 2017
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VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. Investments

VSR Financial Services-How to Recover Damages On Losses In REITs and Alt. 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 October 16, 2017 May 17, 2018

April 2018–VSR Financial Services closed down its operations in the Fall of 2016. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity which is…

Rex Securities Law
October 11, 2017
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Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration

Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration 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 11, 2017 February 4, 2019

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million. Original Post-September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney…

Rex Securities Law
September 29, 2017
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Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis

Couple Awarded $550,000 For Losses on Breitburn Energy Investments-St. Louis 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 29, 2017 September 29, 2017

September 2017-St. Louis, MO A FINRA arbitration panel ordered J.J.B. Hilliard, W.L. Lyons to pay a couple $450,000 in compensatory damages, $100,000 in punitive damages and costs of over $18,000.…

Rex Securities Law
September 14, 2017
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Employer of Stuart, FLA, Broker Christopher D. Sinkula Named in FINRA Arbitration

FOLLOW THIS LINK FOR FEBRUARY 2019 UPDATE-Chris SInkula subject of pending customer disputes of nearly $3 million. September 2017-Stuart, Florida We have filed a FINRA arbitration claim against Janney Montgomery…

Rex Securities Law
April 29, 2017
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Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE

Scott V. Kaup-Former VSR Financial Services Broker-Discloses $1M+ Customer Dispute-Stuart, NE 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 29, 2017 April 29, 2017

April 2017-Stuart, NE The FINRA records of Scott V. Kaup , a stockbroker who was formerly employed by VSR Financial Services disclose a pending customer dispute involving alternative investments. The Financial Industry Regulatory Authority…