finra arbitration attorney Archives - Page 138 of 170

Rex Securities Law
March 26, 2016
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Richard J. Coleman Investigation-Former Legend Securities Broker-Melville, NY

Richard J. Coleman Investigation-Former Legend Securities Broker-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 May 12, 2017

Melville, NY MAY 2017 UPDATE-FINRA records report that Richard J. Coleman left his employment at Salomon Whitney Financial 3/2017 and as of May 11 he is not currently registered. ORIGINAL…

Rex Securities Law
March 26, 2016
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Daren Dorval Investigation-Legend Securities Broker

Daren Dorval Investigation-Legend Securities Broker http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 July 8, 2016

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

Rex Securities Law
March 26, 2016
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Jason Harris Klabal Investigation-Legend Securities Broker

Jason Harris Klabal Investigation-Legend Securities Broker http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

FINRA records report that Jason Harris Klabal, who has been registered with Legend Securities since 8/2011, is named in a currently pending arbitration (FINRA Case 15-484) by a customer who…

Rex Securities Law
March 26, 2016
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Losses on GTAT ? Recovery Options For Investors

Losses on GTAT ? Recovery Options For Investors http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

If you suffered losses on GT Advanced Technologies (GTAT) purchased from Legend Securities we may able to help you recover damages through FINRA arbitration. GT Advanced Technologies which traded at nearly…

Rex Securities Law
March 26, 2016
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Legend Securities Fined $125,000 Over Penny Stock Sales

Legend Securities Fined $125,000 Over Penny Stock Sales http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 March 26, 2016

February 10, 2016 Legend Securities entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from October 2010 to…

Rex Securities Law
March 24, 2016
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Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia

Jeremey D. Hare Investigation-Former Oppenheimer Broker Accused of Churning Customer Accounts-Philadelphia http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 24, 2016 June 27, 2017

MARCH 2017 UPDATE-Investigation of Jeremy D. Hare – Philadelphia, PA According to FINRA records, Jeremy Hare has been named in 19 customer disputes, 2 of which are still pending. He has…

Rex Securities Law
March 24, 2016
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Vertical Fund Investment Losses? How to Recover Damages.

Vertical Fund Investment Losses? How to Recover Damages. http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 24, 2016 March 24, 2016

We are investigating options for investors who may have suffered losses as a result of investing in Vertical Fund private placement investments, including the following: Vertical US Recovery Fund Vertical…

Rex Securities Law
March 24, 2016
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BJ Gallison Sentenced on Pump & Dump Securities Fraud

BJ Gallison Sentenced on Pump & Dump Securities Fraud http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 24, 2016 March 24, 2016

March 18, 2016-San Diego The San Diego Reader reports that B. J. Gallison was sentenced to 18 years in prison for wire fraud and money laundering in connection with an…

Rex Securities Law
March 23, 2016
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Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX

Sarah H. Hancock-Securities License Revoked by Texas Regulator-Austin, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 23, 2016 May 7, 2017

March 22, 2016-Austin, Texas Texas Securities Commissioner John Morgan revoked the investment adviser representative registration of Sarah Helen Hancock, of Dallas, TX, effective April 15, 2016. In addition Hancock was…