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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.
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Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA
Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA 150 150 ER

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser,  a financial advisor currenlty employed by Cabot Lodge Securities,  discloses a regulatory event, a bankruptcy and a…

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Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL
Clyde Jensen -Former TD Private Client Wealth Broker-Discloses Pending Regulatory Event- Tampa, FL 150 150 ER

August 2021 – Tampa, FL  According to publicly available records , Clyde Anthony Jensen, a former broker  with TD Private Client Wealth and Ameriprise disclose a pending regulatory event involving being named as…

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Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI
Carl Gill – Former United Planners Broker- Discloses a Regulatory Event, 4 Settled Customer Disputes, 4 Pending Customer Disputes and 2 Terminations From Employment- Troy, MI 150 150 ER

Carl Gill Investigation August 2022- Troy, MI According to publicly recorded records, Carl Damien Gill,  a financial advisor who was last employed by United Planners Financial Services of America,  discloses…

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Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ
Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 150 150 ER

August  2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered  and who was last employed by Moloney Securities, Co., Inc. ,…

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David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX
David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

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Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA
Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin,  a  stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…

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Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY
Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Rex Securities Law

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

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Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE
Jason Dworak – UBS Broker-Discloses $1M Award to Customer Over UBS YES Program- Lincoln, NE 150 150 Rex Securities Law

August 2021 – Lincoln, NE  According to publicly available records of Jason M. Dworak  ,  a broker  employed with UBS Financial in Lincoln, NE,  discloses  a million dollar award to a…

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Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX
Matthew Lasko – UBS Broker-Subject of $500K Customer Suit- Dallas, TX 150 150 Rex Securities Law

August 2021 – Dallas, TX  According to publicly available records of Matthew E. Lasko  ,  a broker  employed with UBS Financial in Dallas,  discloses  a pending customer dispute. The Financial…

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