StockBroker Archives - Page 2 of 3 - Rex Securities Law-BLOG

Rex Securities Law
June 15, 2016
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Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS

Larry S. Werbel Discloses Customer Dispute Over Investment in VGTL and QLTS 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 June 15, 2016 August 16, 2016

UPDATE August 2016-Disclosure that another customer dispute has been filed. In July 2016 a customer of LPL Financial alleged damages of $19,995 for unsuitable penny stock trading and failure to…

Rex Securities Law
June 15, 2016
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VSR Financial Services-How to Recover Damages On Investment Losses

VSR Financial Services-How to Recover Damages On Investment Losses 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 June 15, 2016 March 24, 2017

FEBRUARY 2017 UPDATE–VSR Financial has closed operations. Many of its brokers and clients have been transferred to Summit Brokerage Services, a related entity. See below for discussion of VSR’s regulatory…

Rex Securities Law
April 4, 2016
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Mickey Long Investigation Update-VSR Financial-Plano, TX

Mickey Long Investigation Update-VSR Financial-Plano, 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 April 4, 2016 April 4, 2016

Plano, Texas Rex Securities Law is investigating VSR Financial Services broker M. F. (Mickey) Long in connection with the sale of fixed annuities, limited partnerships, direct investments in oil & gas, and real estate securities.…

Rex Securities Law
March 27, 2016
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Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of 93 Yr. Old Customer 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 27, 2016 March 10, 2018

See this for MARCH 2018 UPDATE–Mark Kaplan barred from securities industry for churning account of 93 year customer. APRIL 2017-UPDATE-In FINRA Case 16-0193 a customer of Vanderbilt Securities alleges damages…

Rex Securities Law
March 16, 2016
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Larry Werbel’s Co-Conspirator Edward Durante Extradited From Germany

Larry Werbel’s Co-Conspirator Edward Durante Extradited From Germany 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 16, 2016 March 17, 2016

The FBI announced the arrest and extradition of repeat securities fraud offender Edward Durante, also known as: Ted Wise Efran Eisenberg Yulia Ed Simmons Durante was arrested in Germany and…

Rex Securities Law
March 16, 2016
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Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week

Larry Werbel Indicted For Securities Fraud & Ordered to Pay $100,000 by FINRA Arbitrators- In the Same Week 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 16, 2016 April 19, 2016

February 24, 2016- Cleveland, Ohio A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered former Summit Brokerage Services stockbroker Larry Werbel , who operated Evolution Partners Wealth Management of Chagrin Falls,…

Rex Securities Law
March 15, 2016
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Paul V. Blum Investigation-RBC Capital Markets-West Palm Beach, FL

Paul V. Blum Investigation-RBC Capital Markets-West Palm 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 15, 2016 March 17, 2016

We are investigating former RBC Capital Markets broker Paul V. Blum of West Palm Beach, Florida. According to his official FINRA record, Blum was employed by RBC Capital Markets from…

Rex Securities Law
January 11, 2016
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Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities Fraud 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 January 11, 2016 March 16, 2016

1/8/2016- Cleveland, Ohio Larry Werbel, 67, of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…

Rex Securities Law
December 17, 2015
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Dennis Van Patter Investigation -First Financial Services Group-Plano,TX

Dennis Van Patter Investigation -First Financial Services Group-Plano,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 December 17, 2015 June 14, 2016

November 20, 2015-Plano, Texas Dennis Van Patter , a broker with VSR FInancial Services operates his financial service business through First Financial Services Group in Plano, Texas. Van Patter recently entered into a…