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exploitation of seniors

Kansas Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE
Kansas Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting…

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Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer
Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Rex Securities Law

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products
Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Rex Securities Law

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA
Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Rex Securities Law

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY
Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY 150 150 Rex Securities Law

November 2020- Garden City, NY According to publicly available records Richard Foerster Reynolds (CRD#2162706), a stockbroker who works for Worden Capital Management  discloses three regulatory events, 11 customer disputes and…

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Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI
Paul Petrillo-Former Thrivent Investment Broker- Barred from FINRA-Discloses a Customer Dispute-Appleton, WI 150 150 Rex Securities Law

June 2020- Appleton, WI According to publicly available records, former Thrivent Investment Management, Inc.,  financial advisor Paul W. Petrillo,  is barred from FINRA and discloses a settled customer dispute. The…

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Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York
Jacquin P. Fink-Former Merrill Lynch Broker-Discloses almost $3.9M in Settlements and a Pending Customer Dispute-New York 150 150 Rex Securities Law

June 2020-New York According to publicly available records.  Jacquin P. Fink (CRD#207807), a  stockbroker who last worked for Merrill Lynch,  discloses 10 prior customer disputes and 1 pending customer dispute.…

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