FInancial Exploitation of the Elderly Archives - Page 4 of 13

Rex Securities Law
February 20, 2018
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Redemption Programs Suspended On Your REIT and LP Investments?

Redemption Programs Suspended On Your REIT and LP 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 February 20, 2018 February 20, 2018

If you have tried to redeem investments you made in real estate investment trusts (REITs) or limited partnerships (LPs) recently you may have received the bad news that the redemption…

Rex Securities Law
February 20, 2018
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Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, FL

Melvin Case-Former LPL Financial Broker-Discharged for Failing to Report Pleading Guilty to Exploitation of Aged Adult-Jacksonville, 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 20, 2018 February 20, 2018

February 2018-Jacksonville, FL According to publicly available records Melvin E. Case , (CRD# 2393464) , a former stockbroker who last worked for LPL Financial LLC, discloses that he was recently sanctioned by securities regulators…

Rex Securities Law
February 15, 2018
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Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, 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 15, 2018 March 8, 2019

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 1 pending…

Rex Securities Law
February 5, 2018
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Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, TX

Larry M. Boggs-Former Ameriprise Broker-Sanctioned for Overtrading Accounts of Elderly Customers-Dallas, 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 February 5, 2018 November 12, 2019

November 2019-Dallas, TX Larry Martin Boggs, a former stockbroker who worked for Wedbush Securities and Ameriprise Financial Services in Dallas was permanently barred from the securities industry by FINRA in…

Rex Securities Law
December 13, 2017
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George Oldoerp Investigation-Former H. Beck Broker-Corona, CA

George Oldoerp Investigation-Former H. Beck Broker-Corona, CA 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 December 13, 2017 December 13, 2017

December 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…

Rex Securities Law
November 13, 2017
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Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow 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 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Rex Securities Law
November 7, 2017
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Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX

Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, 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 7, 2017 November 13, 2017

November 2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

Rex Securities Law
October 17, 2017
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San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice

San Antonio Based Investment Professionals Inc. Sanctioned for Unsuitable Advice 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 17, 2017 October 17, 2017

October 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) recently was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine…

Rex Securities Law
October 15, 2017
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Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, 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 October 15, 2017 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…