ETFs Exchange Traded Funds Archives - Page 2 of 4

Rex Securities Law
October 23, 2017
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Joseph Hushek-G.F. Investment Services Broker- Discloses Regulatory Event – Sarasota, FL

Joseph Hushek-G.F. Investment Services Broker- Discloses Regulatory Event – Sarasota, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 23, 2017 October 23, 2017

October 2017 – Sarasota, FL According to publicly available records Daniel Joseph Hushek III (CRD#4250117) , a stockbroker who is currently unregistered and was previously registered with G.F. Investment Services, disclose a recent regulatory event.…

Rex Securities Law
October 22, 2017
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Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX

Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 22, 2017 October 22, 2017

October 2017-San Angelo, Texas We are investigating former Royal Alliance Associates stockbroker Bill A. Holubec. Publicly available records of Bill A. Holubec, (CRD# 1304064) , disclose that a Royal Alliance customer has filed…

Rex Securities Law
July 23, 2017
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Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs

Richard W. Martin-Former G.F. Investments Services Broker-Discloses Issues Over Sale of ETFs https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 23, 2017 July 23, 2017

July 2017-Malaysia The FINRA records of Richard William Lunn Martin , a former stockbroker who was last employed by G.F. Investment Services, disclose a prior regulatory matter, 15 customer disputes, a current…

Rex Securities Law
June 27, 2017
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Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL

Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 27, 2017 April 11, 2018

May 2017 – Chicago, IL According to publicly available records Louis Scherschel (CRD#5634741) , a stockbroker currently registered with St. Bernard Financial Services, Inc., discloses settlement of a customer dispute and a discharge from …

Rex Securities Law
April 30, 2017
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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 July 18, 2018

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…

Rex Securities Law
April 26, 2017
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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-

Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 26, 2017 April 26, 2017

April 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

Rex Securities Law
February 14, 2017
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Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX

Bill Holubec-Royal Alliance Broker-Discloses Pending Customer Dispute-San Angelo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 14, 2017 October 22, 2017

January 2016-San Angelo, Texas OCTOBER 2017 UPDATE-Bill Holubec is no no longer registered as a broker with Royal Alliance as of 5/2017. See this for more information. Publicly available records of Bill…

Rex Securities Law
November 2, 2016
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Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX

Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 2, 2016 May 10, 2017

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

Rex Securities Law
July 26, 2016
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Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute

Andrew B. Kramer-Former Capitol Securities Management Broker-Discloses Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 26, 2016 July 26, 2016

July 2016-Brooklyn, NY The FINRA records of Andrew B. Kramer , a stock broker who is currently unlicensed and was most recently employed by Capitol Securities Management & Kramer Capital Management , disclose a prior regulatory event, 2…