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finra arbitration attorney

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals
“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Rex Securities Law

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker
Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Rex Securities Law

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales
Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations
Hilltop Securities Named in 46 Regulatory Events/22 Customer Arbitrations 150 150 Rex Securities Law

April 11, 2016-Dallas, Texas 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…

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Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX
Jerry Lowrimore-Hilltop Securities- Named In Customer Arbitration-Dallas, TX 150 150 Rex Securities Law

April 11, 2016-Dallas, Texas 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…

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Bradley Glasman – 26 Customer Disputes on FINRA Records-Dallas,TX
Bradley Glasman – 26 Customer Disputes on FINRA Records-Dallas,TX 150 150 Rex Securities Law

April 11, 2016-Dallas, Texas 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…

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Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA
Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA 150 150 Rex Securities Law

UPDATE June 2020 December 2019-FINRA suspended Landers for two years for holding himself out as a chief compliance officer while statutorily disqualified and failed to disclose a personal bankruptcy filing…

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Danny L. Butcher Discharged by Edward Jones-Canyon, Texas
Danny L. Butcher Discharged by Edward Jones-Canyon, Texas 150 150 Rex Securities Law

April 10, 2016-Canyon, Texas 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…

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Ibrahim Kurtulus Investigation- Meyers Associates Stock Broker
Ibrahim Kurtulus Investigation- Meyers Associates Stock Broker 150 150 Rex Securities Law

April 7, 2016-New York, NY 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…

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