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Rex Securities Law-BLOG

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

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas
Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Rex Securities Law

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL
Jason Zwibel-Garden State Securities Broker-Named in $2.6M Customer Suit-Wellington, FL 150 150 Rex Securities Law

See this for January 2020 Update. May 2018 -Wellington, FL According to FINRA records, Jason Eric Zwibel,  a   stockbroker who is  employed by Garden State Securities  , disclose  a pending dispute…

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Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, FL
Two S. Floridians Indicted on Valentine Beauty Pump and Dump Stock Scheme-Miami, FL 150 150 Rex Securities Law

May 2018-Miami, Florida The US Attorneys Office for the Southern District of Florida announced that two Florida stock promoters have been charged with a $1 million pump and dump securities…

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Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events
Windsor Street Capital (f/k/a Meyers Associates) Has Numerous Regulatory Events 150 150 Rex Securities Law

May 2018 —According to FINRA records,  stock brokerage firm Windsor Street Capital LP (formerly known as Meyers Associates),  discloses 3 pending regulatory events, 20 regulatory events that are final and 12 final arbitrations. The…

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LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA
Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Rex Securities Law

May 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle ,  a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL
Mohamed Debbagh-Former Cetera Advisors Broker-Discloses Pending Customer Suit-Boca Raton, FL 150 150 Rex Securities Law

April 2018 -Boca Raton, FL According to FINRA records, Mohamed Debbagh,  a   stockbroker who was recently  employed by Cetera Advisors  , disclose  a pending dispute by a former customer. The Financial…

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Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX
Dexter Thomas Litigation Update-Former National Planning Corp. Broker-Dallas, TX 150 150 Rex Securities Law

May 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation.  If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…

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Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?
Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Rex Securities Law

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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