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Rex Securities Law
May 11, 2017
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Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY

Douglas E. Duncan-Former National Securities Corp. Broker- Discloses Customer Dispute-Westbury, NY 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 May 11, 2017 May 11, 2017

May 2017-Westbury, New York The FINRA records of Douglas E. Duncan , a stockbroker who is currently registered with PHX Financial and Scottrade, Inc. disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
May 10, 2017
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Mack L. Miller-Former Dawson James Securities Broker-Discloses Separation from Employment-NY

Mack L. Miller-Former Dawson James Securities Broker-Discloses Separation from Employment-NY 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 May 10, 2017 May 11, 2017

May 2017-New York The FINRA records of Mack L. Miller , a stockbroker who is currently registered with Spartan Capital Securities disclose two prior customer disputes, a separation from employment and 2 currently outstanding judgment/liens . The…

Rex Securities Law
May 10, 2017
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Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY 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 May 10, 2017 May 10, 2017

May 2017-Hawthorne, NY The FINRA records of Craig S. Forster , a stockbroker who is currently registered with Woodstock Financial Group disclose 9 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
May 10, 2017
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Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI

Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI 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 May 10, 2017 May 10, 2017

May 2017-Providence, RI According to publicly available records Alan M. Cobb, (CRD#49158) , a stockbroker who was previously registered with Investors Capital Corp., discloses a prior final customer dispute. The Financial Industry Regulatory Authority…

Rex Securities Law
May 10, 2017
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Kovack Securities to Acquire TKG Financial

Kovack Securities to Acquire TKG Financial 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 May 10, 2017 May 10, 2017

May 2017 Ft. Lauderdale-based Kovack Securities announced that they intend to acquire the assets of TKG Financial, Inc. Kovack Securities has about 400 advisors nationwide. TKG Financial, based in Santa…

Rex Securities Law
May 10, 2017
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Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM

Jeffrey R. Wilson-Wells Fargo Broker-Loses Arbitration to Customer Over Energy and Real Estate Investments-Las Cruces, NM 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 May 10, 2017 May 10, 2017

May 2017-Las Cruces, NM The FINRA records of Jeffrey R. Wilson , a stockbroker who is currently registered with Wells Fargo Clearing Services disclose a recent arbitration award to a customer and 2 other prior…

Rex Securities Law
May 10, 2017
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Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX

Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, 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 May 10, 2017 May 10, 2017

May 2017-Southlake, TX The FINRA records of Patrick D. Combs , a stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

Rex Securities Law
May 9, 2017
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Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, 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 May 9, 2017 May 9, 2017

May 2017-Boca Raton, FL The FINRA records of Dominic J. Linsalata Jr. , a stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority…

Rex Securities Law
May 9, 2017
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Michael J. Romanelli-Former Nomura Securities Broker-Discloses Termination from Employment-New York

Michael J. Romanelli-Former Nomura Securities Broker-Discloses Termination from Employment-New York 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 May 9, 2017 May 9, 2017

May 2017-New York The FINRA records of Michael J. Romanelli , a stockbroker who is currently registered with Stormharbour Securities disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…