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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA
Keith Fontenot-Wells Fargo Stockbroker-Discloses Settlement of Customer Suits-Lafayette, LA 150 150 Rex Securities Law

April 2018 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Clearing Services, disclose settlements in 2 customer disputes. The Financial…

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Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO
Joseph I. Yanofsky-Former Merrill Broker-Subject of $2.2M Customer Dispute-Greenwood, CO 150 150 Rex Securities Law

April 2018-Greenwood Village, Colorado According to FINRA records, former Merrill Lynch broker Joseph I. Yanofsky , discloses a recent regulatory suspension, a pending customer dispute, a termination from employment and 8 prior customer disputes that…

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Rocco Guidicipietro-Alexander Capital Broker-Discloses Pending Regulatory Matter and Settlement of Customer Disputes-New York
Rocco Guidicipietro-Alexander Capital Broker-Discloses Pending Regulatory Matter and Settlement of Customer Disputes-New York 150 150 Rex Securities Law

April 2018- New York According to FINRA records,  Rocco G. Guidicipietro (aka Rocco Peters)  discloses a pending regulatory matter, a prior regulatory matter and  three settled customer disputes. The Financial Industry Regulatory Authority…

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Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales
Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales 150 150 Rex Securities Law

April 2018 The FINRA records of Park Avenue Securities ,  a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…

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Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Rex Securities Law

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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Cryptocurrency Offerings Targeted by Texas Securities Regulators
Cryptocurrency Offerings Targeted by Texas Securities Regulators 150 150 Rex Securities Law

April 2018- Austin, Texas The Texas State Securities Board (TSSB) found widespread fraud in cryptocurrency offerings that were tied to virtual currencies and has issued a 14 page report which…

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Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry
Buckman Buckman Reid Broker Ron Ison Barred From Securities Industry 150 150 Rex Securities Law

April 2018- Little Silver, New Jersey Ron Jason Ison , a former stockbroker who last was employed by Buckman, Buckman & Reid, was permanently barred from the securities industry by…

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How to Recover Losses on Reef Oil and Gas Fund Investments
How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Rex Securities Law

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

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