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Unsuitable Investments

Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint
Stephen Dealy-Investors Capital Corp Stockbroker-Discloses Pending Oil & Gas Customer Complaint 150 150 Rex Securities Law

Port Orange, Florida According to FINRA records, Stephen Y. Dealy ,  a broker who was  registered  with Investors Capital Corp until 9/2014 , discloses a pending customer dispute and 9 finalized customer disputes. In addition,…

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Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint
Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint 150 150 Rex Securities Law

Chandler, AZ According to FINRA records, Jason L. Freiwald ,  a broker who is currently registered  with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute
Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Lakeland, Florida According to FINRA records, Edgar A. Thomas ,  a broker who is currently registered  with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Losses on KBR Baron’s Cove ? How to Recover Damages.
Losses on KBR Baron’s Cove ? How to Recover Damages. 150 150 Rex Securities Law

Investors suffering losses on KBR Baron’s Cove may be able to recover damages from the brokerage firm that sold the investment. Contact Rex Securities Law for details. No charge initial…

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Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales
Jason B. Vanclef-VFG Securities-Named In Regulatory Investigation Over REIT Sales 150 150 Rex Securities Law

Culver CIty, CA According to FINRA records, Jason B. Vanclef,  a broker who is  registered  with VFG Securities  , discloses that he is named in a FINRA complaint alleging that in connection with…

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Mark Trewitt-VFG Securities Broker -Discloses Customer Disputes-Plano, TX
Mark Trewitt-VFG Securities Broker -Discloses Customer Disputes-Plano, TX 150 150 Rex Securities Law

Plano, Texas JUNE 2017 UPDATE–Mark Trewitt discloses two additional customer disputes: FINRA Case 17-0669- a customer of VFG Securities alleges damages of $300,000 for an overconcentration of unsuitable alternative investments, including…

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Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits
Theodore Allocca, Jr.-Trident Partners Stockbroker-Discloses Customer Suits 150 150 Rex Securities Law

September 2018-Woodbury, New York According to FINRA records, Theodore Allocca, Jr. ,  a broker who is currently registered  with Trident Partners Ltd. , disclose a pending customer dispute and  two prior final customer…

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Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock
Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock 150 150 Rex Securities Law

UPDATE AUGUST 2016-FINRA records disclose that a customer of COR Clearing has filed FINRA arbitration 16-2100 alleging damages of $778,119 for recommending worthless securities and fraud. UPDATE JULY 2016-FINRA records…

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Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration
Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration 150 150 Rex Securities Law

JUNE 2018 UPDATE-IN 5/2016 a FINRA arbitration panel awarded damages of $267,890 to the Barrett & Company customer that filed FINRA Case 14-0755 discussed below. ORIGINAL POST MAY 2016 Providence,…

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