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Reg D Offerings(private placements)

Losses on Cole Office and Industrial REIT ?
Losses on Cole Office and Industrial REIT ? 150 150 Rex Securities Law

If you have suffered losses on your investment in Cole Office & Industrial REIT, contact us to learn how you may be able to recover damages from the brokerage firm…

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Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC
Matthew S. Kocsis -Cambridge Investment Research Broker-Discloses Customer Dispute-Charlotte, NC 150 150 Rex Securities Law

 JUNE 2017- Charlotte, NC According to publicly available records Matthew S. Kocsis, (CRD#4787057) ,  a  stockbroker who  is registered with Cambridge Investment Research discloses 2 prior customer disputes. The Financial Industry Regulatory…

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James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX
James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX 150 150 Rex Securities Law

June 2017 – Houston, TX According to publicly available records James A. Franklin  (CRD#4799613) ,  a  stockbroker who currently is employed by 1st Global Capital Corp. ,  discloses a pending customer dispute. The Financial…

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Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York
Mark David Martino-Former Axiom Capital Management Broker-Discloses Customer Dispute-New York 150 150 Rex Securities Law

May 2018 UPDATE-In April 2018 an arbitration panel in Hartford, CT, dismissed the claims against Mark Martino and recommended expungement of all references to FINRA arbitration 17-01008 (see below)  from…

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Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX
Gary C. Haack-Former FSC Securities Broker-Discloses Settlement of Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

June 2017- San Antonio, Texas According to publicly available records Gary C. Haack  (CRD#2796834) ,  a  stockbroker who currently is employed by Corecap Investments ,  discloses  2 prior customer disputes. The Financial Industry Regulatory…

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John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH
John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH 150 150 Rex Securities Law

May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses two prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA
Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Rex Securities Law

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA
Frederick P. Baerenz-Kalos Capital Broker-Ordered to Pay Customer $331K-Great Falls, VA 150 150 Rex Securities Law

May 2017-Great Falls, VA The FINRA records of  Frederick P. Baerenz,  a  stockbroker who is currently  registered with Kalos Capital  disclose that a FINRA arbitration panel awarded damages to a customer Baerenz recently. The Financial Industry…

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Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI
Curtis L. Whipple- Kalos Capital Broker-Discloses Customer Disputes-Plymouth, MI 150 150 Rex Securities Law

May 2017-Plymouth, MI The FINRA records of  Curtis L. Whipple,  a  stockbroker who is currently  registered with Kalos Capital  disclose a prior regulatory event, a pending customer dispute, 3 prior customer disputes and a termination from…

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