Stockbroker Malpractice Archives - Rex Securities Law-BLOG

Rex Securities Law
August 14, 2023
No Comments

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth

Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth 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 August 14, 2023 August 16, 2023

“Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000…

ER
July 21, 2023
No Comments

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 21, 2023 August 16, 2023

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes. The…

ER
July 21, 2023
No Comments

David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN

David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 21, 2023 August 16, 2023

David Geake Investigation July 2023 – Whiting, IN According to publicly available records David Geake discloses 11 prior customer disputes settled for more than $2.2 million and pending customer disputes…

ER
July 21, 2023
No Comments

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g July 21, 2023 August 16, 2023

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records Gregory Sain , a broker who was previously registered with Stifel Nicolaus and is now with Morgan…

Rex Securities Law
July 6, 2023
No Comments

StoneX Financial Discloses Numerous Regulatory Sanctions

StoneX Financial Discloses Numerous Regulatory Sanctions 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 July 6, 2023 July 6, 2023

StoneX Financial Investigation July 2023 -Winter Park, FL According to FINRA records, StoneX Financial discloses 60 sanctions imposed by securities regulators in the United States as well as several other…

Rex Securities Law
June 30, 2023
No Comments

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 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 June 30, 2023 August 17, 2023

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

ER
June 28, 2023
No Comments

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 28, 2023 June 28, 2023

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

ER
June 28, 2023
No Comments

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 28, 2023 June 28, 2023

Angelo Anello Investigation June 2023 – Needham, MA According to publicly available records Angelo Anello , a broker with LPL Financial discloses a prior customer dispute and 2 pending customer disputes. …

ER
June 28, 2023
No Comments

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland

James Warring- Former DAI Securities Advisor/ Eaglestone Wealth Advisor- Has a $4.5M Pending Customer Dispute-Rockville, Maryland http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 28, 2023 June 28, 2023

James Warring Investigation June 2023 – Rockville, Maryland According to publicly available records James Dale Warring, a broker currently registered with Emerson Equity, discloses $4.5M pending customer dispute. The Financial Industry…