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Rex Securities Law-BLOG

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

Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX
Lisa Allen-Former VSR Financial Services Broker-Investigation-Austin, TX 150 150 Rex Securities Law

December 2017–Austin, Texas We are investigating former VSR Financial Services broker Lisa A. Allen (Lisa Ann Fowler)  in connection with the sale of various direct investments including real estate securities and limited partnership interests. According…

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Timothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA
Timothy T. Gibbons-Former Morgan Stanley Broker-Ordered to Pay Former Customers $749K-New Orleans,LA 150 150 Rex Securities Law

November 2017-New Orleans, LA According to FINRA records,   without admitting or denying the findings, Timothy T. Gibbons , a former Morgan Stanley broker,  entered into an agreement with FINRA to resolve allegations that…

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Charles Geraci -Former VSR Financial Services Broker-Subject of $1.4M Customer Suits-Woodlands, TX
Charles Geraci -Former VSR Financial Services Broker-Subject of $1.4M Customer Suits-Woodlands, TX 150 150 Rex Securities Law

October 2018-The Woodlands, Texas According to FINRA records, Charles Geraci , a former VSR FInancial Services broker who is not currently registered with any brokerage firm, discloses two pending customer disputes and 7…

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RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL
RBC Capital Ordered to Pay $723K For Sale of MLPs to Senior Citizen-Tampa, FL 150 150 Rex Securities Law

November 2017-Tampa, FL A FINRA arbitration panel comprised by an all public panel of three arbitrators, ordered RBC Capital Markets and broker Bruce Cameron of Norwell, Massachusetts,  to pay a former…

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Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX
Mickey Long-Former VSR Financial Broker-DIscloses Numerous Customer Complaints Over Alternative Investments-Plano, TX 150 150 Rex Securities Law

November  2017-Plano, Texas According to public records former VSR Financial Services broker M. F. (Mickey) Long discloses a prior final regulatory event, 10 prior customer disputes that are final and…

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Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX 150 150 Rex Securities Law

October 2017-Arlington, Texas The FINRA records of  Christopher P. Anthony, (CRD #1157930) a  stockbroker who is not currently  registered and who was last employed by  Rhodes Securities, Inc. , disclose a currently pending customer dispute, a prior…

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William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL
William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL 150 150 Rex Securities Law

October 2017 – Jacksonville, FL According to publicly available records William  H. Merriam IV, (CRD#5222110) , a  former stockbroker who was last employed by Merrill Lynch , disclose  a prior regulatory event and a termination…

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Wedbush Securities Discloses Over 100 Regulatory Violations
Wedbush Securities Discloses Over 100 Regulatory Violations 150 150 Rex Securities Law

NOVEMBER 2019 UPDATE–Current FINRA records for Wedbush Securities disclose 109 regulatory events. In September 2019 FINRA censured Wedbush and ordered the company to disgorge nearly $2 million to resolve allegations…

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