FINRA Archives - Page 8 of 53 - Rex Securities Law-BLOG

Rex Securities Law
March 23, 2018
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Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL

Mark Kaplan-Former Vanderbilt Securities Broker-Subject of Recenlty FIled Arbitration for S. FLA Family-Pompano Beach, FL 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 23, 2018 September 30, 2018

MARCH 2018– Pompano Beach, FL We recently filed an arbitration complaint against Vanderbilt Securities, the former employer of former stockbroker Mark Kaplan on behalf of an elderly couple in their…

Rex Securities Law
March 23, 2018
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Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ

Raymond Pirrello, Jr.-Former Garden State Securities Stockbroker-Subject of Churning Suits-Sparta, NJ 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 23, 2018 December 17, 2018

Updated November 2018-Sparta, New Jersey The FINRA records of Raymond J. PIrrello, Jr. , a stockbroker who was last employed by Garden State Securities, disclose 2 final regulatory events , 1…

Rex Securities Law
March 19, 2018
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Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, Texas

Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, Texas 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 19, 2018 March 19, 2018

March 2018-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

Rex Securities Law
March 9, 2018
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Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt Securities Broker

Mark Kaplan Investigation Update-Arbitration Claim to be Filed vs. Former Vanderbilt 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 9, 2018 September 30, 2018

MARK KAPLAN INVESTIGATION UPDATE 3/9/2018 Boca Raton, FL-We are in process of preparing another arbitration claim against Vanderbilt Securities seeking damages for account churning and unsuitable investment recommendations by their…

Rex Securities Law
March 6, 2018
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Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-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 6, 2018 March 6, 2018

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

Rex Securities Law
March 5, 2018
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Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina

Joseph L. Cotter-Former NEXT Financial Group Broker-Discloses Fine/Suspension/Termination-Charlotte, N.Carolina 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 5, 2018 March 5, 2018

March 2018- Charlotte, N. Carolina The FINRA records of Joseph L. Cotter , a stockbroker who is currently not registered and who was last employed by Petersen Investments disclose a recent regulatory matter resulting…

Rex Securities Law
March 4, 2018
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Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas

Ritchie Roberts-Former Stephens Broker-Subject of Gambling Investigation/Barred From Securities Industry-Rogers, Arkansas 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 4, 2018 September 21, 2018

March 2018- Rogers, Arkansas The FINRA records of Norris Richard (“Richie”) Roberts, Jr. , a former stockbroker who was last employed by Stephens Inc. disclose a recent regulatory matter resulting in a permanent bar from…

Rex Securities Law
March 2, 2018
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Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas

Walter W. Parker-Titan Securities Broker-Discloses Settlements of Customer Suits and a Regulatory Investigation-Rowlett, Texas 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 2, 2018 January 29, 2020

SEE THIS FOR JANUARY 2020 UPDATE APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here. March 2018-Rowlett, Texas The…

Rex Securities Law
February 24, 2018
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Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL 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 February 24, 2018 May 4, 2019

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and seven…