fbpx

Unsuitable Investments

David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Rex Securities Law

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

read more

Mark C. Quale-Discharged by First Financial Equity Corp.
Mark C. Quale-Discharged by First Financial Equity Corp. 150 150 Rex Securities Law

Scottsdale, AZ According to FINRA records, Mark C. Quale,  a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…

read more

Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ
Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ 150 150 Rex Securities Law

UPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…

read more

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim
Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Rex Securities Law

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

read more

Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter
Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter 150 150 Rex Securities Law

Dallas, Texas According to FINRA records, Randy G. Merrill ,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…

read more

Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments
Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments 150 150 Rex Securities Law

Minneapolis, MN According to FINRA records, Richard J. Reynolds ,  a broker who has been  registered  with Northland Securities since  9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…

read more

Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks
Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks 150 150 Rex Securities Law

Minneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was  registered  with Feltl & Company from  3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…

read more

Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning
Bernard T. Weber-Feltl & Co. Broker-Discloses Pending Customer Complaint Alleging Churning 150 150 Rex Securities Law

MAY 2018 UPDATE-Minnetonka, MN According to FINRA records, Bernard T. Weber ,  a broker who has been  registered  with Feltl & Company since  12/2006 , discloses five prior customer disputes, two final regulatory…

read more

Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY
Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY 150 150 Rex Securities Law

November 2019-New York According to FINRA records, Kevin Richard Graetz ,  a former stock broker who was last  registered  with Paulson Investment Company  discloses that he was barred from the securities…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com