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Unsuitable Investments

Bruce Meyers Investigation-Meyers Associates, LP
Bruce Meyers Investigation-Meyers Associates, LP 150 150 Rex Securities Law

UPDATE-April 2017 The FINRA records of Bruce Meyers, a currently unregistered stock broker who formerly worked for  Meyers Associates,  now report 19 disclosure events, including 1 pending and 7 final regulatory events, 2…

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Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Rex Securities Law

May 2017-Newton, PA 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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Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration
Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration 150 150 Rex Securities Law

April 7, 2016-New York, 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…

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EDI Financial in El Paso, Texas Ordered to Pay Customer $273K
EDI Financial in El Paso, Texas Ordered to Pay Customer $273K 150 150 Rex Securities Law

January 19, 2016-El Paso, Texas A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered stock brokerage firm EDI Financial, Inc. to pay a customer $273,606 in damages and attorney fees.…

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Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL
Thomas Fross-SII Investments Stockbroker Discloses Customer Dispute-The Villages, FL 150 150 Rex Securities Law

UPDATE-September 2016– SII Investments was found liable for negligence, unsuitability and breach of fiduciary duty and ordered to pay damages in the amount of $19,634 plus interest in FINRA Case…

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Mickey Long Investigation Update-VSR Financial-Plano, TX
Mickey Long Investigation Update-VSR Financial-Plano, TX 150 150 Rex Securities Law

Plano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey)  Long  in connection with the sale of fixed annuities,  limited partnerships, direct investments in oil & gas,  and real estate securities.…

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Robert Hardcastle Investigation-VSR Financial Services Stockbroker
Robert Hardcastle Investigation-VSR Financial Services Stockbroker 150 150 Rex Securities Law

Chesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle  in connection with the sale of fixed annuities, mutual funds, equities,  limited partnerships, direct investments in oil & gas,  and…

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Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH
Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 150 150 Rex Securities Law

April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles Kulch , of Nashua ,New Hampshire,  lists two customer disputes: FINRA Case 15-0762-the customer alleges that NEXT Financial Group…

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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX
Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …

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