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Rex Securities Law
May 1, 2017
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Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT

Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT 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 1, 2017 May 1, 2017

April 2017-Essex Junction, VT The FINRA records of Robert J. Hudson, Jr. , a stockbroker who is currently employed by Summit Brokerage Services disclose 2 prior regulatory events, a pending customer dispute, a prior…

Rex Securities Law
May 1, 2017
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Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH

Frank Scarito-Former VSR Financial Services Broker-Discloses Settlement of Customer Dispute-Manchester, NH 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 1, 2017 December 13, 2018

April 2017-Manchester, NH The FINRA records of Frank Charles Scarito , a stockbroker who is currently employed by Berthel, Fisher & Co. disclose a prior final customer dispute that was resolved with a cash…

Rex Securities Law
May 1, 2017
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John G. Lewis III-Former VSR Financial Broker-Discloses Customer Dispute Over UDF Investment-Arlington, MA

John G. Lewis III-Former VSR Financial Broker-Discloses Customer Dispute Over UDF Investment-Arlington, MA 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 1, 2017 May 1, 2017

April 2017-Arlington, MA The FINRA records of John G. Lewis III , a stockbroker who is currently employed by Summit Brokerage Services disclose a pending customer dispute over investments in United Development Funding. The Financial…

Rex Securities Law
May 1, 2017
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Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA

Sara R. Bohn-Former VSR Financial Services Broker-Discloses Termination from Employment-Christiansburg, VA 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 1, 2017 May 1, 2017

April 2017-Christiansburg, VA The FINRA records of Sara R. Bohn , a stockbroker who is currently employed by First Citizens Investor Services disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
May 1, 2017
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Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, NY

Vincent P. Afflixio-Morgan Stanley Broker-Discloses $500K Customer Dispute-Hauppauge, 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 1, 2017 May 1, 2017

May 2017-Hauppauge, NY According to publicly available records Vincent P. Afflixio, Jr. , (CRD#1043147 ) , a stockbroker who is currently registered with Morgan Stanley discloses a pending customer dispute. The Financial Industry Regulatory Authority…

Rex Securities Law
May 1, 2017
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Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA

Abraham Heimann-Former Cetera Advisors Broker-Discloses Customer Disputes Seeking $3M-Alpharetta, GA 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 1, 2017 May 31, 2017

May 2017-Alpharetta, GA According to publicly available records Abraham Heimann, (CRD#1315922) , a stockbroker who is not currently registered with any brokerage firm discloses three currently pending customer disputes. The Financial Industry Regulatory Authority…

Rex Securities Law
April 30, 2017
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Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX

Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, 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 April 30, 2017 April 30, 2017

April 2017-San Antonio, TX According to publicly available records Thomas H. Oliphint , (CRD#1172870) , a stockbroker who is not currently registered and who last was employed by LPL Financial discloses 2 prior customer…

Rex Securities Law
April 30, 2017
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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, 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 April 30, 2017 July 18, 2018

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…

Rex Securities Law
April 30, 2017
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Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, 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 April 30, 2017 April 30, 2017

April 2017-Dallas, TX According to publicly available records Neal Charles Moon, (CRD#3271716) , a stockbroker who is not currently registered and who last was employed by Waddell & Reed discloses a prior regulatory event, a prior…