Concorde Investment Services Archives - Rex Securities Law-BLOG

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April 7, 2022
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Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI

Jeffrey Kiesnoski -Concorde Investment Services Broker-Discloses $1.8M+ in Customer Suits- Livonia, MI http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 7, 2022 April 7, 2022

Jeffrey Kiesnoski Investigation April 2022- Livonia, MI The FINRA records of Jeffrey A. Kiesnoski, a Concorde Investment Services broker, disclose two prior customer disputes and two pending customer disputes. The Financial Industry…

Rex Securities Law
November 15, 2021
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Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN

Joseph Michaletz-DAI Securities Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Mankato, MN http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 15, 2021 November 15, 2021

Joseph Michaletz Investigation November 2021-Mankato, MN According to publicly available records Joseph G. Michaletz , a stockbroker who is currently registered with DAI Securities, disclose 3 currently pending customer disputes…

Rex Securities Law
May 9, 2018
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Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX

Meredith A. McCutchen-Former Berthel Fisher/Concorde Investment Broker-Settles Customer Suit-Houston, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 9, 2018 May 9, 2018

May 2018-Houston, Texas According to FINRA records, Meredith Ann McCutchen , a stock broker who was previously employed by Concorde Investment Services and Berthel Fisher and who is currently employed by Moody Securities , discloses a recent…

Rex Securities Law
July 12, 2017
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Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX

Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 12, 2017 July 12, 2017

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

Rex Securities Law
June 19, 2017
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Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 19, 2017 September 28, 2017

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) , a former stockbroker who last worked for Concorde Investment Services , has numerous disclosures: 1 prior regulatory events 8…

Rex Securities Law
April 12, 2017
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RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ

RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 12, 2017 October 20, 2020

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) , a currently unregistered stockbroker who last worked for IFS Securities , has numerous disclosures: 1 pending…

Rex Securities Law
January 11, 2016
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Larry Werbel Indicted for $15M VGTL Securities Fraud

Larry Werbel Indicted for $15M VGTL Securities Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 11, 2016 March 16, 2016

1/8/2016- Cleveland, Ohio Larry Werbel, 67, of Evolution Partners Wealth Management in Chagrin Falls was indicted on charges that he participated in a scheme which defrauded about 100 investors out…