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Securities Regulators

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX
Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX 150 150 Rex Securities Law

August 2021 – Houston, Texas According to a press release  from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

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David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston
David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Rex Securities Law

August 2021  According to publicly available records David Alan Levine (CRD#4895654) ,  a  former stockbroker  who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

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Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX
Legacy Wealth Advisers Sanctioned by Texas Securities Regulator – Waxahachie , TX 150 150 Rex Securities Law

July 2021- Waxahachie, TX  According to publicly available records,  Legacy Wealth Advisors, a registered investment  advisor located in Waxahachie, Texas, was recently reprimanded and fined $15,000 by the Texas State…

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John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC
John Calardo- Former Worden Capital Broker- Discloses $300K Pending Customer Suit Alleging Churning- NYC 150 150 Rex Securities Law

July 2020, New York, NY According to publicly available records John Calardo   (CRD# 6063938) ,  a  currently unregistered stockbroker who previously registered  with Four Points Capital Partners & Worden Capital Management,…

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Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX
Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Rex Securities Law

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes
Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes 150 150 Rex Securities Law

July 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…

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