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Rex Securities Law-BLOG

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

Wells Fargo Advisors Fined by Regulator for Account Churning
Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Rex Securities Law

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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Bart Bohrer-Former Captital Financial Services Broker-Subject of $900,000 Customer Disputes-Minot, N. Dakota
Bart Bohrer-Former Captital Financial Services Broker-Subject of $900,000 Customer Disputes-Minot, N. Dakota 150 150 Rex Securities Law

January 2020-Minot, N. Dakota The FINRA records of  Bart J. Bohrer ,  a  broker who is currently employed by  Calton & Associates  disclose 3 pending customer disputes  which seek, cumulatively, about…

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Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN
Richard L. Pittman-Cetera Advisors Broker-Discloses Settlement of Customer Suits-Memphis, TN 150 150 Rex Securities Law

January 2020- Memphis, TN The FINRA records of Richard Lynn Pittman, a stockbroker employed by  Cetera Advisors, disclose a pending customer dispute and 3 prior customer disputes . The Financial Industry Regulatory…

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Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA
Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Rex Securities Law

January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,  discloses 1 regulatory event, a pending…

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Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA
Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 150 150 Rex Securities Law

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by  Centaurus Financial, Inc., disclose  2 pending customer disputes. The Financial Industry Regulatory…

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Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL
Jason Zwibel-Garden State Securities Financial Advisor-Discloses Customer Disputes-Wellington, FL 150 150 Rex Securities Law

January 2020 – Wellington, FL The FINRA records of Jason Eric Zwibel, a stockbroker who is currently  employed by  Garden State Securities, disclose a pending customer dispute,  4 prior customer disputes and…

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David H. Miller-Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Rex Securities Law

January 2020 – Atlanta, GA The FINRA records of of David Harrison Miller , a stockbroker with Peachcap Securities, discloses 5 prior customer disputes and 2 pending customer disputes. The Financial…

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Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA
Kendall J. Groom- Former Independent Financial Group Broker- Barred From Securities Industry- Fresno, CA 150 150 Rex Securities Law

January 2020- Fresno, CA The FINRA records of Kendall J. Groom  , a broker previously employed  by  Independent Financial Group , disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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