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Rex Securities Law-BLOG

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

Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY
Praxedes Russi-Former Salomon Whitney Financial Broker- Discloses Customer Dispute and 5 Judgements- Farmington, NY 150 150 Rex Securities Law

October 2019-Farmington, NY The FINRA records of  Praxedes Russi ,  a  financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial  disclose 2…

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Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC
Michael Stanton-Worden Capital Management Broker- Discloses $15M Pending Customer Dispute- NYC 150 150 Rex Securities Law

July 2019-New York, NY The FINRA records of  Michael Salvatore Stanton,  a  financial advisor employed by  Worden Capital Management disclose 2 regulatory events,  3 prior customer disputes, 1 pending customer dispute, a…

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Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL
Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Rex Securities Law

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

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Texas Securities Regulators Require Metals.Com to Refund $10M
Texas Securities Regulators Require Metals.Com to Refund $10M 150 150 Rex Securities Law

July 2019-Austin, Texas The Texas State Securities Board (TSSB) issued a news release announcing that Metals.Com, has agreed to offer a full refund to some 84 Texas investors. According to…

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William Neil “Doc” Gallagher Charged with Operating Ponzi Scheme-Dallas, TX
William Neil “Doc” Gallagher Charged with Operating Ponzi Scheme-Dallas, TX 150 150 Rex Securities Law

March 2019-Dallas, TX Neil ‘Doc” Gallagher, who calls himself the “Money Doctor” on Dallas area radio stations was was charged with operating a Ponzi Scheme by the Securities and Exchange…

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Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY
Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY 150 150 Rex Securities Law

June 2019-Melville, NY The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments. The…

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Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL
Jodie LaMarre- Former Robert W. Baird & Co. Broker- Discloses Regulatory Event & Two Settled Customer Disputes-Sarasota, FL 150 150 Rex Securities Law

June 2019- Sarasota, FL According to publicly available records Jodie A. Lamarre (CRD#2127928) ,  a  stockbroker who is currently not registered  discloses a regulatory event and 2 settled customer disputes .…

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Richard D. Niemann- USB Financial Broker-Discloses Regulatory Event and Customer Settlements- Sugarland, TX
Richard D. Niemann- USB Financial Broker-Discloses Regulatory Event and Customer Settlements- Sugarland, TX 150 150 Rex Securities Law

May 2019- Sugarland, TX According to publicly available records Richard D. Niemann (CRD#348144) ,  a  stockbroker who is currently registered with USB Financial Services, Inc.,  discloses a regulatory event and 2…

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Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR
Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR 150 150 Rex Securities Law

May 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) ,  a  stockbroker who is currently not registered,  discloses a regulatory event and a termination from employment.…

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