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Rex Securities Law-BLOG

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

Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates
Capital Financial Services Closing Down Business-Accounts Transferred to Calton & Associates 150 150 Rex Securities Law

September 2019 Capital Financial Services (CFS)  , a brokerage firm with headquarters in Minot, North Dakota, recently notified its customers that it is closing down its business on or about…

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Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ
Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Rex Securities Law

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC
Nicholas J. Schiano- Former Worden Capital Management Broker- Discloses Customer Disputes- NYC 150 150 Rex Securities Law

September 2019, New York, NY According to publicly available records Nicholas James Schiano   (CRD#4429212) ,  a  stockbroker currently registered  with Spartan Capital Securities,  disclose 1 prior customer dispute and 1 pending…

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Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY
Robert P. Solow- Former Trident Partners Broker-Discloses Pending Customer Suit- Melville, NY 150 150 Rex Securities Law

September 2019, Melville, NY According to publicly available records Robert Paul Solow   (CRD# 4532161) ,  a  stockbroker who is not not registered and who last worked for Joseph Gunnar & Co.…

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Thomas Jenkins Parker-Thoroughbred Financial Services Broker- Discloses 2 Regulatory Events, 9 Customer Disputes and a Pending Investigation- Brentwood, TN
Thomas Jenkins Parker-Thoroughbred Financial Services Broker- Discloses 2 Regulatory Events, 9 Customer Disputes and a Pending Investigation- Brentwood, TN 150 150 Rex Securities Law

September 2019 – Brentwood, TN According to publicly available records Thomas Jenkins Parker (CRD#356789) ,  a  stockbroker who is currently registered with Thoroughbred Financial Services,  disclose 2 prior regulatory events, 9…

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Cetera Advisors Charged With Defrauding Retail Clients
Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Bill Shopoff-Shopoff Securities- Discloses Pending Regulatory Event & Pending Customer Disputes-Irvine, CA
Bill Shopoff-Shopoff Securities- Discloses Pending Regulatory Event & Pending Customer Disputes-Irvine, CA 150 150 Rex Securities Law

July 2019 – Irvine, CA According to publicly available records William A. Shopoff  (CRD#1273471) ,  a  stockbroker who is currently registered with Shopoff Securities Inc.,  disclose a pending regulatory event  , 2…

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