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Rex Securities Law-BLOG

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

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY
Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY 150 150 Rex Securities Law

April 2017-Mitchelfield, NY The FINRA records of  Jonathan M. Zucker ,  a  broker with Northeast Securities   disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes
Walter J. Marino-Former Legend Equities Broker-Discloses Regulatory Event and Numerous Customer Disputes 150 150 Rex Securities Law

April 2017- The FINRA records of  Walter J. Marino ,  a  former Legend Equities stockbroker who is currently not registered disclose a pending regulatory matter, 3 pending customer disputes, 9 prior final customer disputes, and 3…

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Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX
Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Rex Securities Law

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX
Thomas P. Smith-Former Titan Securities Broker-Discloses Customer Dispute Over Alternative Investment-Arlington, TX 150 150 Rex Securities Law

April 2017-Arlington, Texas The FINRA records of  Thomas P. Smith ,  a   stockbroker who is currently registered with Center Street Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas
Clyde D. Jones-Titan Securities Broker-Discloses Customer Disputes Over Viatical Settlements-Whitesboro, Texas 150 150 Rex Securities Law

MAY 2018 UPDATE–See this for update.  ORIGINAL POST-April 2017-Whitesboro, Texas The FINRA records of  Clyde D. Jones ,  a   stockbroker who is currently registered with Titan Securities disclose 2 pending customer disputes, 2…

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Donald L. Wells-Titan Securities Broker-Sanctioned Over Sales of Life Partners Viaticals-Seattle, WA
Donald L. Wells-Titan Securities Broker-Sanctioned Over Sales of Life Partners Viaticals-Seattle, WA 150 150 Rex Securities Law

April 2017-Seattle, WA The FINRA records of  Donald L. Wells ,  a   stockbroker who is currently registered with Titan Securities disclose a prior regulatory matter and a  prior final customer dispute. The Financial Industry…

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Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL
Raymond James to Purchase Scout Investments for $172M-St. Petersburg, FL 150 150 Rex Securities Law

April 2017- St. Petersburg, FL Raymond James announced that they reached a deal with UMB Financial Corp (NASDAQ: UMBF) to purchase Scout Investments and its Reams Asset Management division. According…

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Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas
Walter Parker-Titan Securities Broker-Discloses Customer Disputes Over UDF Investments-Rowlett, Texas 150 150 Rex Securities Law

SEE THIS FOR JANUARY 2020 UPDATE Rowlett, Texas APRIL 2018 UPDATE–Walt Parker suspended in connection with sale of alternative investments, assessed $7,500 fine by FINRA. Read more here.  UPDATE JULY…

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John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY
John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Rex Securities Law

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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