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Rex Securities Law-BLOG

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

Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians
Stephen Hatch-Texas Real Estate Investor Sentenced to Five Years on Ponzi Scheme Targeting Christians 150 150 Rex Securities Law

The Arizona Republic reports that Texan Stephen J. Hatch, 68, pleaded guilty to felony fraud and was sentenced to five years for operating a $70 million Ponzi scheme that targeted…

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Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL
Daniel J. Haugh-PTI Securities & Futures Broker-Discloses Customer Arbitration & Regulatory Sanction-Chicago, IL 150 150 Rex Securities Law

Updated January 2019-Chicago According to publicly available records Daniel John Haugh  (CRD#2162854) ,  a  stockbroker who currently is the chief compliance officer of  PTI Securities & Futures , disclose a recent regulatory event…

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PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX
PTI Securities & Futures Sanctioned by Texas Regulators for Transferring Client Funds Based on Spam Emails-Austin, TX 150 150 Rex Securities Law

June 2017 -Austin, TX The Texas State Securities Board entered a disciplinary order against Chicago-based PTI Securities & Futures for transferring nearly $100,000 from a 75 year old Texan’s IRA…

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Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL
Judy K Morehead-Former Navarre Beach Chamber CEO-Charged With Securities Fraud-Navarre Beach, AL 150 150 Rex Securities Law

June 2017-Navarre Beach, Alabama The Alabama Securities Commission announced that Judy Kay Morehead of Henry County, Alabama, turned herself in to the Henry County Jail upon an arrest warrant charging…

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Mariva Capital Markets Censured/Fined by Regulator-Miami,FL
Mariva Capital Markets Censured/Fined by Regulator-Miami,FL 150 150 Rex Securities Law

June 2017-Miami, FL According to publicly available records Mariva Capital Markets LLC (CRD#2296303) (“MCM”) ,  a  Miami-based broker dealer who has been a FINRA member since 2013 disclose a recent regulatory event. The…

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Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA
Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA 150 150 Rex Securities Law

See this for April 2018 update.  June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot  (CRD#2296303) ,  a  stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…

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Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA
Todd D. Ryman -Suntrust Investment Services Broker-Discloses Customer Disputes-Atlanta, GA 150 150 Rex Securities Law

June 2017 – Atlanta, GA The FINRA records of Todd D. Ryman ,  a  stockbroker previously employed with  Raymond James & Associates, Inc.  disclose  a prior regulatory matter and 6 customer disputes. The…

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Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL
Louis Scherschel-Former Sigma Financial Corporation Broker-Discloses Settlement of Customer Dispute and Discharge from Employment-Chicago, IL 150 150 Rex Securities Law

May 2017 – Chicago, IL According to publicly available records Louis Scherschel  (CRD#5634741) ,  a  stockbroker currently registered with St. Bernard Financial Services, Inc.,  discloses settlement of a customer dispute and a discharge from …

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Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account
Ameriprise Financial Ordered to Pay Customer $440K For Making Improper Distributions From Retirement Account 150 150 Rex Securities Law

JUNE 2017 A FINRA arbitration panel of three public arbitrators in Omaha, Nebraska ordered Ameriprise Financial Services to pay a customer $440,000 in compensatory damages. The customer alleged breach of…

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