Rex Securities Law-BLOG - Page 165 of 247 - Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Rex Securities Law
July 18, 2016
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Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning

Andre V. Labarbera-Former Newport Coast Securities Broker-Discloses FINRA Investigation for Churning 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 July 18, 2016 July 18, 2016

July 2016-Dix Hills, NY The FINRA records of Andre V. Labarbera , a stock broker currently employed by Titus Rockefeller , disclose a pending regulatory event and 5 prior customer disputes and a currently pending customer dispute. The…

Rex Securities Law
July 18, 2016
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Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning 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 July 18, 2016 July 18, 2016

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone , a stock broker currently employed by Salomon Whitney Financial , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
July 18, 2016
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Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 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 July 18, 2016 July 18, 2016

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III , a former stock broker employed by Newport Coast Securities , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

Rex Securities Law
July 18, 2016
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David K. Larson of Sonstone Trading Indicted for Wire Fraud

David K. Larson of Sonstone Trading Indicted for Wire Fraud 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 July 18, 2016 July 18, 2016

May 2016-Wichita, Kansas The Department of Justice announced the indictment of David K. Larson, 70, of Hillsboro, Kansas, who is charged with one count of wire fraud for allegedly carrying…

Rex Securities Law
July 18, 2016
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Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 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 July 18, 2016 July 18, 2016

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

Rex Securities Law
July 17, 2016
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Aaron Brodt-Former Accelerated Capital Group Broker-Discloses Pending Customer Disputes

Aaron Brodt-Former Accelerated Capital Group Broker-Discloses Pending Customer Disputes 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 July 17, 2016 February 15, 2020

February 2020 The FINRA records of Aaron Paul Brodt , a financial advisor who was last registered with Peachtree Securities , disclose a pending customer dispute and 4 prior customer disputes. The Financial Industry…

Rex Securities Law
July 17, 2016
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Wayne I. Miller-CEO of Accelerated Capital Group-Named in Customer Arbitrations

Wayne I. Miller-CEO of Accelerated Capital Group-Named in Customer Arbitrations 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 July 17, 2016 May 24, 2018

SEE THIS for May 2018 UPDATE. ORIGINAL POST-July 2016 The FINRA records of Wayne I. Miller , who is employed by Accelerated Capital Group as president and CEO , disclose two pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
July 17, 2016
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Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 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 July 17, 2016 July 17, 2016

July 2016 The FINRA records of Bahram Mirhashemi , a stock broker who formerly was employed by Accelerated Capital Group , disclose 2 prior final regulatory events, a currently pending regulatory event, 5 currently pending customer disputes, a prior final customer…

Rex Securities Law
July 17, 2016
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Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration

Jeffrey Smith-Former Accelerated Capital Group Broker-Discloses $750K Customer Arbitration 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 July 17, 2016 September 29, 2017

UPDATE SEPTEMBER 2017–Jeffrey A. Smith, without admitting or denying the findings, consented to sanctions of a $5,000 fine and a three month suspension from 9/5/2017-12/4/2017, to resolve allegations that he…