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Rex Securities Law-BLOG

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

Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations
Robert Murray, III-Joseph Stone Capital Broker-Named in Numerous Customer Arbitrations 150 150 Rex Securities Law

February 2018 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker
Marlon Cole Named in Customer Arbitration Dispute-Legend Securities Broker 150 150 Rex Securities Law

May 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

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Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY
Wesley Clinton -Network 1 Financial Securities Broker-Discloses Customer Disputes-Wantagh, NY 150 150 Rex Securities Law

October 2017-Wantagh, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY
Steve Sabi -Network 1 Financial Securities Broker-Discloses Customer Dispute-Great Neck, NY 150 150 Rex Securities Law

May 2016-Great Neck, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL
Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

May 2016-Boca Raton, FL The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute
Keith Bradley-VSR Financial, Houston, Texas-Discloses Pending Customer Dispute 150 150 Rex Securities Law

Houston , Texas UPDATE December 2016-Keith Bradley’s FINRA records disclose a pending customer initiated claim seeking damages of $100,000 for unsuitable investments and negligence related to Direct Investments, Limited Partnerships, equipment leasing, oil…

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Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records
Jeffrey Offen-Salomon Whitney Broker-Discloses Outstanding Judgments on FINRA Records 150 150 Rex Securities Law

See this for February 2019 update. Jeffrey Lance Offen left Salomon Whitney Financial in 5/2016 and worked for Craft Capital Management from 10/2016-9/2017. He is not currently registered as a…

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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens
Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 150 150 Rex Securities Law

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…

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