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Unauthorized Trading

Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY
Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY 150 150 Rex Securities Law

October 2017-Wantagh, NY 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…

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Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY
Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY 150 150 Rex Securities Law

May 2016-Great Neck, NY 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…

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Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL
Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

May 2016-Boca Raton, FL 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…

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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens
Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 150 150 Rex Securities Law

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities
Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY 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…

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David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston
David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston 150 150 Rex Securities Law

April 2016- Boston 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…

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Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK
Jay D. Jordan -Former WFG Investments Broker-Discloses $4M Customer Dispute-Oklahoma City, OK 150 150 Rex Securities Law

April 2016- Oklahoma City, OK UPDATED February 2018-See this for current details. UPDATE MAY 2017–FINRA Records disclose that Jay D. Jordan currently has 9 pending and 4 prior customer disputes. The…

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Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute
Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute 150 150 Rex Securities Law

UPDATE APRIL 2017-In October 2016 Thomas Tedeschi was suspended for a week for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA…

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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales
Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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