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Rex Securities Law-BLOG

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

Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH
Tom Thacker II- Oppenheimer Broker- Discloses $440K Customer Dispute-Beachwood, OH 150 150 Rex Securities Law

November 2020- Beachwood, OH According to publicly available records, a Oppenheimer,  broker Tom G. Thacker II,   discloses a recently filed pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL
Jason Dukas-Former Stifel Nicolaus & Co Broker-Discloses Regulatory Event and a Termination- Clearwater, FL 150 150 Rex Securities Law

November 2020- Clearwater, FL According to publicly available records Jason Dukas (CRD#4188239), a  stockbroker with  Stifel, Nicolaus & Company, discloses a regulatory event and a termination from employment. The Financial…

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Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Rex Securities Law

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL
Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL 150 150 Rex Securities Law

November 2020- Delray Beach, FL According to publicly available records, former Crystal Bay Securities, Inc.  financial advisor Rafael Golan,  is barred from FINRA and discloses 4 regulatory events, 4 investigations,…

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Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas
Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas 150 150 Rex Securities Law

November 2020- Spring, TX According to publicly available records  Charles Don Burchard , a former stockbroker who last worked for   Allstate Financial Services ,  discloses that he was recently permanently…

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Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA
Patrick Coogan-LPL Financial Broker- Permanently Barred from Securities Industry- Baton Rouge, LA 150 150 Rex Securities Law

November 2020- Baton Rouge, LA According to publicly available records, former LPL Financial   advisor Patrick Coogan,  has been barred from the securities industry by FINRA. The Financial Industry Regulatory Authority…

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Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX
Grizelle Perez-Former Sanders Morris Harris Broker-Permanently Barred by Regulators- Houston, TX 150 150 Rex Securities Law

November 2020- Houston, TX According to publicly available records, former  financial advisor Grizelle E. Perez, who last worked for USCA Securities,  has been barred from the securities industry by FINRA.…

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Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC
Christopher Shaw- Former Kalos Capital Broker-Discloses Pending Customer Disputes-Charlotte, NC 150 150 Rex Securities Law

October 2020-Charlotte, NC According to publicly available records,  Christopher Shaw (CRD#5011382), a  stockbroker who was previously registered with  Pruco Securities & Kalos Capital,  discloses 3 pending customer disputes, a prior…

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