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Rex Securities Law-BLOG

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

SEC Warns Investors– Beware of Fake News
SEC Warns Investors– Beware of Fake News 150 150 Rex Securities Law

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons
Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons 150 150 Rex Securities Law

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

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Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY
Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY 150 150 Rex Securities Law

April 2017- Melville, New York The FINRA records of  Ian Greenblatt (aka Eric Green ) ,  a  stockbroker who is  employed by  Capitol Securities Management  disclose 3 prior final customer disputes. The Financial Industry Regulatory…

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Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ
Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ 150 150 Rex Securities Law

UPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…

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Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX
Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…

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Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Rex Securities Law

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses
Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Rex Securities Law

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

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Sean M. Logue-Hennion & Walsh Broker-Discloses Customer Disputes Over Municipal Bond Losses-Parsippany, NJ
Sean M. Logue-Hennion & Walsh Broker-Discloses Customer Disputes Over Municipal Bond Losses-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Sean M. Logue ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose 2 prior final customer disputes and a currently pending customer dispute.…

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Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ
Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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