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Rex Securities Law-BLOG

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

Robert Armstrong- Dawson James Securities Broker-Discloses Customer Suits Alleging Unsuitable Investments-Boca Raton, FL
Robert Armstrong- Dawson James Securities Broker-Discloses Customer Suits Alleging Unsuitable Investments-Boca Raton, FL 150 150 Rex Securities Law

April 2018 – Boca Raton, FL Robert D. Armstrong Phd. (aka Dr. Armstrong) , a stockbroker currently employed by Dawson James Securities discloses 3 pending customer disputes on his publicly available…

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Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY
Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Rex Securities Law

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY
Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Rex Securities Law

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX
Donna Boyd (Chen)-Former Sunbelt Securities Broker-Named In SEC Complaint-Houston, TX 150 150 Rex Securities Law

January 2018-Houston, Texas Donna Boyd (formerly Donna Chen) , a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in…

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James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX
James Tao-Former Sunbelt Securities Stockbroker-Named in SEC Complaint-Houston, TX 150 150 Rex Securities Law

January 2018-Houston, Texas James Tao, a former stockbroker who last worked for Sunbelt Securities was named in a complaint filed by the Securities and Exchange Commission in December 2017, which…

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Invest in Woodbridge Fund ? How to Recover Your Losses.
Invest in Woodbridge Fund ? How to Recover Your Losses. 150 150 Rex Securities Law

December 2017-Boca Raton, FL According to a complaint filed in MIami, FL, by the Securities and Exchange Commission (SEC), Robert H. Shapiro and a group of unregistered investment companies called…

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David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX
David Krumrey-Former Oppenheimer Stockbroker-Subject of Customer Complaints-The Woodlands, TX 150 150 Rex Securities Law

January 2018-The Woodlands, Texas We are investigating former Oppenheimer & Co.  stockbroker David W. Krumrey who was recently discharged by Oppenheimer for attempting to settle a customer complaint without informing the firm.…

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Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA
Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA 150 150 Rex Securities Law

December 2017-Brockton, MA According to FINRA  records Joeann M. Walker, (CRD# 2210194) ,  a   stockbroker who formerly worked for NEXT Financial Group and LPL FInancial  was barred from the securities industry for failing…

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George Oldoerp Investigation-Former H. Beck Broker-Corona, CA
George Oldoerp Investigation-Former H. Beck Broker-Corona, CA 150 150 Rex Securities Law

December 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…

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