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Rex Securities Law-BLOG

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

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL 150 150 Rex Securities Law

February  2019 – Collinsville, IL According to public records, Jay R. Weiser  (CRD#1511042)  a  former stockbroker who was previously employed by Despain Financial Corporation,  discloses a regulatory event, a pending customer dispute and…

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Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA

Michael Olinde-Former LPL Financial Broker-Discloses Pending FINRA Investigation & Employment Termination- Baton Rouge, LA 150 150 Rex Securities Law

January 2019 – Baton Rouge, LA According to publicly available records Michael Edward Olinde (CRD# 3063204) ,  a   registered stockbroker currently employed by Capital Financial Services who was previously employed by LPL Financial,…

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Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY

Michael Venturino-Former Aegis Capital/Trident Partners Broker-Subject of $1.2M Customer Suit-Garden City, NY 150 150 Rex Securities Law

January 2019- Garden City, NY According to publicly available records Michael Christopher Venturino ,  a  stockbroker who is currently employed by Spartan Capital Securities and was formerly employed by Aegis Capital Corp. and…

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Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL

Roger Kroeger-Former Invest Financial Broker-Discloses Criminal Suit & Termination-Ft. Lauderdale, FL 150 150 Rex Securities Law

January 2019- Ft. Lauderdale, FL According to publicly available records Roger Kroeger, (CRD# 1526864) ,  a  previously registered stockbroker who was last employed by Invest Financial Corporation, disclose a regulatory event,…

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Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX

Matt Streif-UBS Financial Broker-Discloses $350K Customer Settlement-Austin,TX 150 150 Rex Securities Law

January 2019, Austin, TX According to publicly available records  Matthew T. Streif, a stockbroker registered with UBS Financial Services , discloses a customer dispute that was resolved by a  cash settlement…

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Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX

Trevor Carney-Ascendant Alternative Strategies Broker-Discloses Regulatory Event-Austin, TX 150 150 Rex Securities Law

January 2019 – Austin, TX According to publicly available records Trevor Martin Carney  (CRD#5657735) ,  a  stockbroker who is currently registered with Ascendant Alternative Strategies ,  disclose a Regulatory Event and two currently outstanding judgment/liens.…

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Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX

Justin Montandon-Ameriprise Broker-Discloses Regulatory Event and 2 Customer Disputes-Austin, TX 150 150 Rex Securities Law

January  2019 – Austin, TX According to public records of Justin  A. Montandon  (CRD#4455879)  a  stockbroker employed by Ameriprise Financial Services, Inc., discloses a regulatory event, a customer dispute settlement. The…

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Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX

Omar Richardson-Charles Schwab Broker-Discloses Pending Customer Suit-Austin, TX 150 150 Rex Securities Law

January 2019 – Austin, TX According to publicly available records  Omar Charles Richardson , a stockbroker who is currently registered with  Charles Schwab & Co., Inc., discloses  a pending customer dispute The…

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Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Rex Securities Law

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

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