Discretionary Trading Archives - Page 18 of 20

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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 15, 2016
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James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL

James Hilty-Edward Jones Broker Sanctioned for Unauthorized Trading- Ocala, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2016 February 11, 2018

January 29, 2016- Ocala, FL James P. Hilty, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while he was…

Rex Securities Law
January 21, 2016
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Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading

Waddell & Reed Broker Discharged and Sanctioned for Unauthorized Trading https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 21, 2016 January 21, 2016

January 4, 2016 Carlos Benavidez, Jr. entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that while associated with Waddell &…

Rex Securities Law
January 21, 2016
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John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis

John R. McKinstry Investigation-Former Moloney Securities Broker-St. Louis https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 21, 2016 May 16, 2016

1/21/2016-St. Louis, MO Rex Securities Law is investigating former Moloney Securities broker John R. McKinstry on behalf of an elderly retired couple. According to his FINRA brokercheck report, McKinstry was discharged…

Rex Securities Law
January 12, 2016
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Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL

Jason Figueroa-Former GMS Group Broker Discloses $750K Damage Claim-Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 12, 2016 May 16, 2017

UPDATE APRIL 2017-BOCA RATON, FL–The FINRA records of Jason L. Figueroa disclose that in pending FINRA arbitration case #15-03075 a customer of GMS Group alleges damages of $750,000 for unsuitable…

Rex Securities Law
January 11, 2016
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Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator

Fischer, Texas- Caldwell International Securities Named in Complaint by Securities Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 11, 2016 January 11, 2016

December 31, 2015- Fischer, Texas On December 31, 2015, the Financial Industry Regulatory Authority (FINRA) filed a complaint against Caldwell International Securities alleging that firm founder Greg Caldwell and supervisors Paul Jacobs…

Rex Securities Law
November 23, 2015
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Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval

Robert W. Baird & Co. Broker Sanctioned for Trading Without Approval https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 23, 2015 December 2, 2015

October 16, 2015- Portland, Oregon James G. Christianson , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from July 2011…