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Rex Securities Law-BLOG

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

Enver Alijaj-Investigation Update-Former Legend Securities Broker
Enver Alijaj-Investigation Update-Former Legend Securities Broker 150 150 Rex Securities Law

April 13, 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…

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Losses On Servergy, Inc ? – Recovery Options for Investors
Losses On Servergy, Inc ? – Recovery Options for Investors 150 150 Rex Securities Law

April 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…

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David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX
David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX 150 150 Rex Securities Law

Dallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…

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Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator
Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals
“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Rex Securities Law

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker
Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Rex Securities Law

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales
Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint
Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint 150 150 Rex Securities Law

April 2018 UPDATE-New York 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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Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations
Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations 150 150 Rex Securities Law

April 11, 2016-Dallas, Texas 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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