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finra arbitration attorney

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX
Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX 150 150 Rex Securities Law

Plano, Texas According to FINRA records, Robert M. Kuhn ,  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and…

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Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Rex Securities Law

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator
Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator 150 150 Rex Securities Law

Odessa, Texas According to FINRA records, Noe Garcia, Sr. ,  a former investment company products and variable contracts representative for State Farm VP Management  from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…

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David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Rex Securities Law

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities
How to Recover Damages for Losses on Oil and Gas Investments Purchased from PTX Securities 150 150 Rex Securities Law

Investors suffering losses on oil and gas investments purchased from PTX Securities of Plano, Texas, may be able to recover damages through FINRA arbitration. PTX Securities (fka Balanced FInancial Securities)…

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PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator
PTX Securities Sanctioned Over Oil & Gas Investments by Securities Regulator 150 150 Rex Securities Law

Plano Texas- April 2016 PTX Securities  LLC (formerly Balanced Financial Securities) entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations…

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Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ
Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ 150 150 Rex Securities Law

UPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…

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Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments
Richard J. Reynolds-Northland Securities Broker-Discloses Pending Customer Dispute Over Alternative Investments 150 150 Rex Securities Law

Minneapolis, MN According to FINRA records, Richard J. Reynolds ,  a broker who has been  registered  with Northland Securities since  9/2002 , discloses a pending customer dispute and a prior dispute that has been settled. The…

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