Category Archives: Forgery

Cesar Rodriguez-Former Avenir Financial Group Broker- Discloses Customer Disputes & Termination- Wheaton, IL

August 2017, Wheaton, IL

According to publicly available records  Cesar Omar Rodriguez (CRD#4451732) , a former stockbroker who was previously registered with Avenir Financial Group, disclose a regulatory event , three prior customer disputes , two terminations from employment and an outstanding judgment lien.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In April of 2015  Rodriquez  was permanently barred from the securities industry by FINRA to resolve allegations that “he defrauded investors by knowingly misrepresenting the true use of investors’ proceeds and improperly misusing investors’ funds for personal expenses unrelated to the operation of his member firm’s branch office…..”

In October of 2015, an  Avenir Financial Group  customer filed a complaint alleging unauthorized trading, breach of fiduciary duty, churning, manipulation, misrepresentation, suitability, negligence, indemnification, recovery of commissions, theft, swindling, and forgery.  Claimant alleged that Rodriguez purchased shares in his account and traded on his margin without permission.  Claimant further alleged that Rodriguez falsified account documents.   In FINRA case 15-02744 the Claimant was awarded the sum of $133,989.04 in compensatory damages, plus interest.   He was also awarded the sum of $22,500 in punitive damages, plus interest.

In April of 2015,  Rodriguez was discharged from Avenir Financial Group .

In November of 2008, Rodriguez was discharged from Charles Morgan Securities, Inc. who alleged that he violated the rules of the industry standards of conduct.

 Rodriguez was with Avenir Financial Group from July of 2013 until he was barred by FINRA in April of  2015.  His prior employment includes American Trust Investment Services, National Securities Corp. and Chicago Investment Group.   Rodriguez also discloses an affiliation with Bull Run Capital Holdings LLC.

If you have questions about an account handled by Cesar O. Rodriguez, contact us to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures: 

  • 1 prior regulatory events
  • 7 currently pending customer disputes
  • 1 currently pending regulatory investigation

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 2/2017 Jill Cody (aka Jill Tramontano)  was permanently barred from the securities industry by FINRA to resolve allegations that she permitted Richard Cody, to whom she was then married, and who had been suspended by FINRA to engage in the securities business while suspended.

Currently pending customer disputes include:

  • 3/2017-A customer of Westminster Financial Securities & Concorde Investments  seeks damages in an unstated amount and alleges that funds were taken by Cody.
  • 3/2017-A customer of Merrill Lynch, Park Avenue Securities, Columbia Management, Westminster Financial Securities and Concorde Investment Services seeks damages in an unstated amount and alleges that Cody misappropriated funds and forged documents.

For information on Jill Cody’s former husband, Richard Cody, follow this link. Cody discloses a business affiliation with Boston Investment Partners.

We are interested in speaking with former customers of Jill Cody (aka Jill Tramontano ) and Richard G. Cody. 

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide

February 2017-Oshkosh, Wisconsin

According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found shot to death in a murder-suicide. The couple was in the middle of a two week trial for allegedly stealing money from elderly clients.

The couple was found in their home in Town of Utica after they failed to show up for trial Monday morning, February  27, 2017.

Public records disclose that Walsh-Josephson worked for Thrivent Investment Management from 7/1996-9/2015 when she was discharged following being criminally charged for forgery and theft. She was permanently barred from the securities industry by FINRA in 1/2016.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry

November 2016-Albuquerque, NM

The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Without admitting or denying the findings, Hudak consented to entry of findings that he submitted non-solicitation forms to his firm that had non-authentic customer signatures. Hudak falsified the non-solicitation forms by having customers sign blank forms, which he then photocopied and reused for transactions in low priced securities.

The findings also state that Hudak provided false and misleading testimony to FINRA in connection with their investigation into the matter.

Hudak was registered with Foothill Securities from 6/2014-10/2015. Prior to that he was employed by Cetera Advisor Networks.

If you have losses in an account in an account handled by Kevin Hudak  contact us to discuss how you may be able to recover damages for those losses.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes

August 2016- Buffalo, New York

The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public, discloses 4 prior regulatory events, 6 pending customer disputes and 7 prior customer disputes. Clark was last employed in the securities industry by Dynasty Capital Partners.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

His prior settled customer disputes include:

  • FINRA Case#9-2811, a customer of Clark’s former employer J.P. Turner alleged damages of $1,000,000 for unauthorized trades, unauthorized use of margin, fraud and breach of fiduciary duty. That case was settled for $395,000.

Currently pending customer disputes include:

  • US DIstrict Court Case 15-CV-1387-DMS-JMA in which a customer of Dynasty Capital Partners alleges damages of $150,000 for misrepresentation, forgery of account documents leading to stock losses.
  • A customer dispute 11/14/2014 in which a customer of Dynasty Capital Partners alleges damages of $814,530 by a customer who made a loan to Clark and is claiming misrepresentation and forgery of securities.

Clark was registered with Dynasty Capital Partners from 8/2010-8/2014.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment

Green Bay, WI

According to FINRA records,  Matthew J. Streckenbach ,  a stockbroker  who currently works  for Packerland Brokerage Services ,  discloses  a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Streckenbach’s  FINRA record reports that he was discharged from Pruco Securities in 4/2016. Pruco made the following allegations in connection with the discharge: “Registered representative submitted several forms to the Company that included non-genuine signatures in connection with several applicant’s life insurance applications.”

Streckenbach was employed at Pruco Securities from 12/2013-4/2016. He has been employed at Packerland Brokerage Services since 4/2016.

If you have questions about an account handled  by Matthew J. Streckenbach  , call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Brent V. Lott-Former LPL Financial Broker-Discloses Pending Customer Disputes

Orem, Utah

According to FINRA records,  Brent V. Lott   a stock broker currently  employed by Girard Securities , discloses two pending customer disputes and a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In October 2013, Brent Lott, was discharged by LPL Financial who made the following allegations on Lott’s FINRA record: Submitted equity indexed annuity applications without meeting or discussing with clients and violation of the firm’s document signature policy. Lott was employed by LPL Financial from 4/2006-12/2013.

A customer while Lott was employed by LPL Financial alleges that a third party, acting in concert with Lott, forged customer signature on contract to acquire insurance policy issued by Pacific Life. No specific damages are listed. This matter is currently pending.

A second customer while Lott was employed by LPL Financial alleges that he never met Lott who is listed as the selling agent for his variable annuity contracts and that Mr. Lott may be aware that the signatures on the contract delivery receipts are not those of the customer. No specific amount of damages is alleged. This matter is currently pending.

If you have questions about an account handled  by Brent Lott, call for a no charge consultation.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870