Unsuitable Investments Archives - Page 110 of 119

Rex Securities Law
March 28, 2016
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Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues

Christopher Veale Investigation-Numerous Customer Complaint & Regulatory Issues 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 March 28, 2016 April 21, 2016

FINRA records report that Christopher F. Veale , of New York, who is not currently registered, is currently named in a customer dispute: FINRA Case 15-00373-customer alleges breach of fiduciary duty by Veale while…

Rex Securities Law
March 27, 2016
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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX

Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 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 March 27, 2016 April 26, 2017

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

Rex Securities Law
March 27, 2016
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Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer 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 March 27, 2016 March 10, 2018

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…

Rex Securities Law
March 26, 2016
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Richard Gomez Investigation-Former Legend Securities Broker

Richard Gomez Investigation-Former Legend Securities Broker 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 March 26, 2016 April 19, 2016

FINRA records report that Richard Gomez , of New York, who is not currently registered, is currently named in two customer disputes: FINRA Case 16-0035 filed by a Florida resident against Gomez while he…

Rex Securities Law
March 26, 2016
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Salvatore Pizzimenti Investigation-Legend Securities Broker

Salvatore Pizzimenti Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

Rex Securities Law
March 26, 2016
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Mario Gogliormella Investigation-Legend Securities Broker

Mario Gogliormella Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

Rex Securities Law
March 26, 2016
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Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend Securities Broker 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 March 26, 2016 May 30, 2018

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators. ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

Rex Securities Law
March 26, 2016
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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker 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 March 26, 2016 March 26, 2016

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration (FINRA Case 15-484) by a customer who…

Rex Securities Law
March 26, 2016
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Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators

Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators 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 March 26, 2016 March 26, 2016

July 2015 Legend Securities was ordered to pay over $61,000 to the estate of a former client by a Financial Industry Regulatory Authority (FINRA) arbitration panel. FINRA Case 14-1705. Estate…