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Rex Securities Law-BLOG

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

Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA
Daryl Serizawa-Woodbury Financial Broker- Discloses $350K Customer Dispute-Irvine, CA 150 150 Rex Securities Law

October 2020- Irvine, CA According to publicly available records, Daryl Tomobu Serizawa, a Woodbury Financial Services, Inc.  broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN
Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Rex Securities Law

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY
Andrew “Andy” Grant- Laidlaw & Co. Broker- Discloses Regulatory Event- Melville, NY 150 150 Rex Securities Law

October  2020- Red Bank, NJ According to publicly available records Andrew “Andy” Grant (CRD#2709882), a stockbroker employed with  Laidlaw & Company,  discloses a regulatory event. The Financial Industry Regulatory Authority…

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Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT
Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT 150 150 Rex Securities Law

October 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks,  financial advisor Stanley B. Secor,  has been barred from the securities industry by  FINRA and…

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Marshall Isaacson-Former Newbridge Securites Broker-Permanently Barred from FINRA- Discloses 4 Customer Disputes, 2 Pending Customer Disputes and 2 Tax Liens- Boca Raton, FLs
Marshall Isaacson-Former Newbridge Securites Broker-Permanently Barred from FINRA- Discloses 4 Customer Disputes, 2 Pending Customer Disputes and 2 Tax Liens- Boca Raton, FLs 150 150 Rex Securities Law

August 2020- Boca Raton, FL According to publicly available records, former Newbridge Securities Corporation,  financial advisor Marshall Isaacson,  is barred from FINRA and discloses 4 customer disputes. The Financial Industry Regulatory…

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Andrew Fairchild-Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Boca Raton, FL.
Andrew Fairchild-Newbridge Securities Broker-Discloses 2 Regulatory Events & Termination-Boca Raton, FL. 150 150 Rex Securities Law

October 2020- Boca Raton, FL  According to publicly available records,  Andrew Joseph Fairchild, a broker with  Newbridge Securities Corporation,  discloses 2 regulatory Events, a customer dispute and a termination. The…

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Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN
Bryce Jenney-Raymond James Broker-Permanently Barred from FINRA-Nashville, TN 150 150 Rex Securities Law

October 2020-Nashville, TN According to publicly available records, former Raymond James & Associates, Inc.,  financial advisor Bryce P. Jenney  has been barred from the securities industry by  FINRA . The…

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Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI
Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI 150 150 Rex Securities Law

June 2020- Appleton, WI According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Paul W. Petrillo,  is barred from FINRA and discloses a settled customer dispute. The…

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Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York
Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Rex Securities Law

June 2020-New York According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 pending customer dispute.…

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