Securities Archives - Page 6 of 67 - Rex Securities Law-BLOG

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May 4, 2022
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Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA

Elizabeth Layne-Morgan Stanley Broker-Customer Alleges $15M+ In Damages Over Option Trading -Atlanta, GA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

Elizabeth Layne Investigation May 2022- Atlanta, GA According to publicly available records Elizabeth M. Layne (aka Elizabeth Muse Hearn & Elizabeth Anne Muse) a broker with Morgan Stanley Smith Barney discloses a large…

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May 4, 2022
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Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA

Ping Shuang Cathy Wu – Cetera Investment Adviser-Subject of Customer Suits Over Real Estate Securities-Arcadia, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

Cathy Wu Investigation May 2022-Arcadia, CA The FINRA records of Ping Shuang Cathy Wu , a broker with Cetera Investment Services, disclose 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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May 4, 2022
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Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY

Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

Jordan S. Berlin Investigation May 2022-Garden City, NY According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute. The Financial Industry Regulatory…

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April 22, 2022
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Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO

Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 22, 2022

Glennon Cole Investigaton April 2022- Manchester, MO According to publicly available records, Glennon J. Cole, a currently unregistered financial advisor who previously was employed by Moloney Securities, Co., Inc. discloses prior…

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April 22, 2022
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David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA

David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 22, 2022

David Bibo Investigation April 2022- Pasadena, CA According to publicly available records David O. Bibo, a broker with Western International Securities broker discloses 2 prior and 2 pending customer disputes and…

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April 7, 2022
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Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY

Peter J. Klein- Hightower Securities Broker- Discloses $1.7M in Pending Customer Disputes -Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 7, 2022 April 7, 2022

Peter J. Klein Investigation April 2022- Melville, NY According to publicly available records, Peter Klein, a broker with Hightower Securities in Melville, NY, discloses 3 pending customer complaints. The Financial Industry Regulatory…

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April 5, 2022
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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA

Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

Clara Tang Investigation April 2022-Cupertino, CA The FINRA records of Clara Tang , a former stock broker with Cetera Investment Services, disclose a prior customer dispute and 2 pending customer…

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April 5, 2022
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Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV

Brett S. Ellen-Former Metric Financial Broker-Discloses $1.9M Customer Suit – Las Vegas, NV http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

Brett S. Ellen Investigation April 2022 – Las Vegas, NV According to publicly available records Brett S. Ellen, an unregistered broker who was most recently employed by Metric Financial , discloses…

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April 1, 2022
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Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO

Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 1, 2022 April 1, 2022

Dustin K. Ward Investigation April 2022- St. Louis, MO According to publicly available records, Dustin K. Ward, a Woodbury Financial Services broker, discloses 2 pending customer disputes. The Financial Industry…