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exploitation of seniors

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD
Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Rex Securities Law

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL
Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Rex Securities Law

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya  , a former stock broker who last worked for Kovack Securities, Inc. , disclose  a regulatory event resulting in a bar from the…

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Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ
Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ 150 150 Rex Securities Law

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) ,  a  former stockbroker who last worked for Wells Fargo Clearing Services,  discloses 2 regulatory events and…

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Wells Fargo Advisors Fined by Regulator for Account Churning
Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Rex Securities Law

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA
Robert Tweed-Former Cabot Lodge Securities Broker- Discloses a Regulatory Event, a Civil Event, Numerous Customer Disputes and a Termination from Employment- San Marino, CA 150 150 Rex Securities Law

January 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) ,  a  former stockbroker who last worked for Cabot Lodge Securities,  discloses 1 regulatory event, a pending…

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David H. Miller-Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA
David H. Miller-Broker with Peachcap Securities- Discloses Multiple Customer Disputes- Atlanta, GA 150 150 Rex Securities Law

January 2020 – Atlanta, GA The FINRA records of of David Harrison Miller , a stockbroker with Peachcap Securities, discloses 5 prior customer disputes and 2 pending customer disputes. The Financial…

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Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO
Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO 150 150 Rex Securities Law

January 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) ,  a  former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…

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Richard Pittman-Cetera Advisors Broker-Discloses 3 Prior Customer Disputes & 1 Pending Customer Dispute-Memphis, TN
Richard Pittman-Cetera Advisors Broker-Discloses 3 Prior Customer Disputes & 1 Pending Customer Dispute-Memphis, TN 150 150 Rex Securities Law

January 2020- Memphis, TN  The FINRA records of Richard L. Pittman, a stockbroker employed by  Cetera Advisor , disclose a pending customer dispute and  3 prior customer disputes. The Financial Industry Regulatory Authority (FINRA)…

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