Category Archives: Margin

Actualmente estamos investigando al corredor de bolsa Cesar Hurtado de Oppenheimer-Miami, FL

Junio de 2017 – Miami, Florida

Estamos investigando al corredor de bolsa Cesar Augusto Hurtado de Oppenheimer & Co., con sede en Miami. Los expedientes de FINRA indican que Hurtado ha estado empleado por Oppenheimer desde 2003. Antes de eso estuvo empleado por CIBC World Markets Corp.

Nuestro cliente es un extranjero residente de Centroamérica que alega daños por malversación de préstamos de margen e inversiones inapropiadas en fideicomisos extranjeros formados en base al asesoramiento de Hurtado.

Si usted tiene información que siente que podría ser útil para esta investigación, por favor comuníquese con nosotros llamando al 561 391 1900.

Rex Securities Law , con oficinas en Boca Raton, Florida, y Austin, Texas, proporciona representación a inversionistas a nivel internacional que están buscando la recuperación de pérdidas de inversiones debido a la negligencia o fraude de corredores de bolsa y agentes de corretaje. Si usted tiene preguntas sobre cómo se ha administrado su cuenta, llame para hablar con un abogado con experiencia en valores de inversión.

La mayoría de los casos son gestionados en base a honorarios de contingencia, lo que significa que usted no paga honorarios de representación jurídica a menos que logremos gestionar su caso con éxito.

Representación a Nivel Internacional

Rex Securities Law

Gratis: 877-224-3199

Florida-561 391 1900

Texas-512-329-2870

Para conversar en español – llame al licenciado José G. Rodríguez, Esq. 561-686-2800

Cesar Hurtado Investigation-Oppenheimer Stockbroker–Miami, FL

June 2017-Miami, Florida

We are investigating Miami-based Oppenheimer & Co. stockbroker Cesar Augusto Hurtado. FINRA records indicate that Hurtado has been employed by Oppenheimer since 2003. Prior to that he was employed by CIBC World Markets Corp.

Our client is a non-US resident from Central America who alleges damages for misuse of margin borrowing , unsuitable investments in foreign trusts formed on advice from Hurtado.

If you have information you feel could be helpful to this investigation, please contact us at 561 391 1900.

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

En español

Para conversar en español – llame al licenciado José G. Rodríguez, Esq. 561-686-2800

 

Steven J Shmulewitz-Former Woodstock Financial Group Broker-Discloses Numerous Customer Disputes-Garden City, NY

May 2017-Garden City, NY

The FINRA records of  Steven J Shmulewitz  ,  a  stockbroker who is currently  registered with Craft Capital Management disclose  10 prior customer disputes .

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.

The prior customer disputes include:

  • In 12/2016 a customer of Craft Capital Management was paid $30,000 to resolve allegations that Shmulewitz failed to enter stop loss orders in October 2016.
  • In 6/2016 a customer of Woodstock Financial was paid $52,800 to resolve allegations that Shmulewitz used margin borrowing without authority from 2011-March 2014.
  • In 1/2016 a customer of Woodstock Financial was paid $125,000 to resolve allegations that Shmulewitz made unsuitable investments, churned the account, committed fraud and other claims.

Steven J Shmulewitz  has been employed by Craft Capital Management since 5/2015. He was employed by Woodstock Financial Group  from 2/1999-12/2014.

If you have questions about an account  handled by Steven J Shmulewitz , 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL

April 2017-Miami, FL

The FINRA records of  Silvano R. Trino ,  a  broker with Northeast Securities   disclose a pending customer dispute and 3 prior final customer disputes.

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 currently pending FINRA Case 14-02908,  a customer of Northeast Securities  seeks damages of $3,900,000 and alleges unauthorized use of margin, unsuitable trades and churning.

Silvano has been registered with Northeast Securities since 11/2008 and discloses a business affiliation with Global Capital Insurance. .

If you have questions about an account  handled by Silvano R. Trino  , contact us to discuss 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY

April 2017-Mitchelfield, NY

The FINRA records of  Jonathan M. Zucker ,  a  broker with Northeast Securities   disclose a pending customer dispute.

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 currently pending FINRA Case 16-1806,  a customer of Northeast Securities  seeks damages of $3,000,000 and alleges trades were done in account without his knowledge, churning and the use of margin in his accounts. Mr. Zucker denies the allegations.

 

Zucker has been registered with Northeast Securities since 1/2012.

If you have questions about an account  handled by Jonathan M. Zucker  , contact us to discuss 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX

April 2017-Dallas, Texas

The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute.

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 currently pending FINRA case #17-0528 a customer of LPL Financial and Edward Jones alleges damages of $200,000 for misrepresentations in the sale of a variable life insurance policy. In Addition the customer alleges that Yanez convinced him to take out a margin loan in order to loan the money to Yanez.

Yanez was employed by LPL Finanical from 12/2011-3/2016. Prior to that he was with Edward Jones 7/2007-1/2012. Yanez discloses business relationships with STAIB Wealth Management and Silver Sail Wealth Advisors.

If you have questions about an account handled by Marcos Yanez, call to learn about 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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY

April 2017- Hauppauge, NY

The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.

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 pending FINRA Case 14-01293 a customer of Aegis Capital Corp alleges damages of $250,000 for breach of contract, unsuitable recommendations, excessive trading and unsuitable use of margin for period of January 2010-April 2014.

In a previous case, FINRA #13-01747, a customer of Aegis Capital alleged damages for recklessly and without due diligence trading speculative securities , stock shorting and excessive use of margin. That case was settled in 5/2014 for $210,000.

 

John Fenimore  was employed by Joseph Stone from 10/2014-5/2015 and with Aegis Capital Corp. 2/2010-7/2014. He is not currently employed as a broker.

If you have losses in an account in an account handled by John Fenimore  , 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