fbpx

finra arbitration attorney

Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration
Wilson G. Saville-Barrett & Co.-Lose Customer Arbitration 150 150 Rex Securities Law

JUNE 2018 UPDATE-IN 5/2016 a FINRA arbitration panel awarded damages of $267,890 to the Barrett & Company customer that filed FINRA Case 14-0755 discussed below. ORIGINAL POST MAY 2016 Providence,…

read more

Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens
Jeffrey L. Boddy-Woodbury Financial Broker-Discloses Numerous Tax Liens 150 150 Rex Securities Law

Farmington, New Mexico According to FINRA records, Jeffrey L. Boddy a broker who works for Woodbury Financial Services, Inc. discloses 1 prior customer dispute and 24 unsatisfied and outstanding judgments or…

read more

Casey J. Alexander,Former Gilford Securities Broker-Named in Customer Arbitration
Casey J. Alexander,Former Gilford Securities Broker-Named in Customer Arbitration 150 150 Rex Securities Law

New York According to FINRA records, Casey J. Alexander, a broker who formerly worked for Gilford Securities , discloses 3 customer disputes, 2 of which have been finalized and one of which…

read more

Samuel D. Wyman, Jr-Former Gilford Securities Broker-Named in Customer Dispute
Samuel D. Wyman, Jr-Former Gilford Securities Broker-Named in Customer Dispute 150 150 Rex Securities Law

Westhampton Beach, New York According to FINRA records, Samuel D. Wyman, Jr., a broker who formerly worked for Gilford Securities , discloses 3 customer disputes, 2 of which have been finalized and…

read more

Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration
Ralph “Brud” Worthington-Formerly with Gilford Securities- Named in Customer Arbitration 150 150 Rex Securities Law

New York According to FINRA records, Ralph  (Brud) Worthington IV, a broker who formerly worked for Gilford Securities , discloses 7 customer disputes, 6 of which have been finalized and one of…

read more

Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration
Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration 150 150 Rex Securities Law

September 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015  for failing…

read more

Barry Link, World Equity Group Broker, Named in Customer Dispute
Barry Link, World Equity Group Broker, Named in Customer Dispute 150 150 Rex Securities Law

May 2016- Wheaton, Illinois The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

read more

Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY
Michael P. McMahon -Former National Securities Corp Stockbroker-Discloses Pending Customer Disputes-NY 150 150 Rex Securities Law

Garden City, New York MAY 2017 UPDATE–MCMahon’s FINRA record discloses 5 pending and 11 final customer disputes. In 11/2016 FINRA case 15-1558 was settled for $400,000 to resolve allegations by…

read more

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL
Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com