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National Planning Corp.

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records,  David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA

Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Rex Securities Law

January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,  discloses 1 regulatory event, a pending…

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Dexter L. Thomas Litigation Update-June 2019-Dallas, TX

Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Rex Securities Law

June 2019  UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

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Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX

Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX 150 150 Rex Securities Law

May 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation.  If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…

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Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

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Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida

Gary D. Moore- Former VSR Financial Broker- Investigation- Sarasota, Florida 150 150 Rex Securities Law

Sarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore  in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…

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Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers

Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Rex Securities Law

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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National Planning Corp. Fined by Regulators for Excessive Sales Charges

National Planning Corp. Fined by Regulators for Excessive Sales Charges 150 150 Rex Securities Law

August 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…

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