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Rex Securities Law
August 5, 2016
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Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX

Robert Kyle Ratcliff-Stifel,Nicolaus Broker-Discloses Customer Arbitration-Denton, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 July 10, 2017

Denton, Texas UPDATE JULY 2017–FINRA records disclose that arbitration 15-3427, discussed below, was settled 2/2017 for $117,477. August 2016-ORIGINAL POST The FINRA records of Robert Kyle Ratcliff , a stock broker who is currently employed…

Rex Securities Law
August 5, 2016
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Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration

Dean T. Nicholson-Sagepoint Financial Broker-Discloses Pending Customer Arbitration https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 August 5, 2016

August 2016-Summerfield / The Villages, Florida The FINRA records of Dean T. Nicholson , a stock broker who is currently employed by Sagepoint Financial, dba Elliott Wealth Management Services , disclose a prior final regulatory event, a prior customer…

Rex Securities Law
August 5, 2016
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George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 5, 2016 August 5, 2016

August 2016-Orlando / The Villages, Florida The FINRA records of George Sefanou , a stock broker who is currently employed by Edward Jones , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Rex Securities Law
August 4, 2016
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Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration

Frank J. McPartland-NBC Securities Broker-Discloses Pending Customer Arbitration https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 4, 2016 August 4, 2016

August 2016-Tampa, Florida The FINRA records of Frank J. McPartland , a stock broker who is currently employed by NBC Securities, Inc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Rex Securities Law
August 4, 2016
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Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration

Kristopher R. Tung-Axiom Capital Mgmt. Broker-Discloses Pending Customer Arbitration https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 4, 2016 August 4, 2016

August 2016-Westbury, New York The FINRA records of Kristopher R. Tung , a stock broker who is currently employed by Axiom Capital Management , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

Rex Securities Law
August 4, 2016
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Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 4, 2016 August 4, 2016

August 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…

Rex Securities Law
August 4, 2016
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Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations

Samuel F. Lek of Lek Securities Discloses 6 Pending Regulatory Investigations https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 4, 2016 August 4, 2016

August 2016-New York The FINRA records of Samuel F. Lek , a stock broker who is currently employed by Lek Securities Corporation , disclose 6 pending FINRA investigations. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Rex Securities Law
August 3, 2016
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Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments

Michael P. Dalessandro-Investment Center Broker-Discloses Customer Dispute Over Oil & Gas Investments https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 3, 2016 August 3, 2016

August 2016-Colt’s Neck, New Jersey The FINRA records of Michael P. Dalessandro , a stock broker who is currently employed by The Investment Center , disclose a pending customer dispute and a prior final customer dispute. The…

Rex Securities Law
August 3, 2016
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The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents

The Investment Center Fined $50K For Sale of Energy Stocks to Texas Residents https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 3, 2016 August 3, 2016

August 2016- Austin Texas The Texas State Securities Board (TSSB) sanctioned The Investment Center, Inc. , a New Jersey securities dealer registered in Texas for failing to supervise one of…