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Rex Securities Law-BLOG

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

Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX
Lori Antolovic-Raymond James Broker-Discloses Regulatory Event-Dallas, TX 150 150 Rex Securities Law

June 2020-Dallas, TX According to publicly available records of Lori S. Antolovic ,  a  stockbroker employed with Raymond James & Associates, Inc. ,  discloses  a regulatory event . The Financial Industry…

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Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX
Daniel Rebmann-UBS Broker-Discloses Customer Disputes-San Antonio, TX 150 150 Rex Securities Law

June 2020- San Antonio, TX The FINRA records of Daniel Rebmann, a broker currently employed  by UBS Financial Services, disclose two customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL
Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL 150 150 Rex Securities Law

May 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed  by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…

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Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA
Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA 150 150 Rex Securities Law

May 2020-Sacramento, CA According to publicly available records of Narinder K. Singh (aka Narinder Dutt)  (CRD#3100308) ,  a  former stockbroker who last worked for Farmers Financial Solutions, discloses a final customer…

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Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX
Patrick Phillips-Allstate Financial Services Broker-Discloses Regulatory Event and a Customer Dispute-Amarillo, TX 150 150 Rex Securities Law

May 2020-Amarillo, TX According to publicly available records of Patrick H. Phillips, Jr.  (CRD#1021928) ,  a  stockbroker with Allstate Financial Services  discloses  a regulatory event and a customer dispute. The Financial…

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Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX
Jason Hudson-Edward Jones Broker-Discloses Customer Dispute-Amarillo, TX 150 150 Rex Securities Law

May 2020-Amarillo, TX According to publicly available records Jason D. Hudson (CRD#6411443) ,  a stockbroker with Edward Jones discloses a customer dispute which alleges undue influence. The Financial Industry Regulatory Authority…

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Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX
Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Rex Securities Law

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX
Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely. The Financial Industry Regulatory…

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Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX
Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX 150 150 Rex Securities Law

April 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) ,  a  former stockbroker who last worked for Raymond James & Associates, Inc.   discloses  a regulatory event…

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