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finra arbitration attorney

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton

Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Rex Securities Law

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL

Morgan Stanley & Brokers Hit With $34M Arbitration Award-Tampa,FL 150 150 Rex Securities Law

March 22, 2016- Tampa, FL A Financial Industry Regulatory Authority arbitration panel ordered Morgan Stanley and two of its broker to pay $34 million to the estate of Roy M.…

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Citadel Securities-Numerous Recent Regulatory Sanctions

Citadel Securities-Numerous Recent Regulatory Sanctions 150 150 Rex Securities Law

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

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Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 150 150 Rex Securities Law

 MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

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Losses on Oil & Gas Investments? How to Recover Damages.

Losses on Oil & Gas Investments? How to Recover Damages. 150 150 Rex Securities Law

March 2016 With oil down 60% from just a year ago, it is no surprise that investments in oil and gas have followed a similar path, generating significant losses in…

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Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi

Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 150 150 Rex Securities Law

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

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Recovery Options for Losses on Chesapeake Energy Investments

Recovery Options for Losses on Chesapeake Energy Investments 150 150 Rex Securities Law

March 16, 2016 Chesapeake Energy, Chesapeake Exploration, SandRidge Energy and other defendants were named in a class action filed by landowners alleging antitrust violations and bid rigging designed to depress…

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Questar Capital Ordered to Pay Customer For Unsuitable REIT Sale

Questar Capital Ordered to Pay Customer For Unsuitable REIT Sale 150 150 Rex Securities Law

March 1, 2016- Louisville, KY A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Questar Capital Corporation  to pay a customer $120,391, plus costs. The customer filed a case seeking damages as a result of…

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Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL

Henry Kulig- FSC Securities/ Csenge Advisory Investigation-Clearwater, FL 150 150 Rex Securities Law

JUNE 2018- Clearwater, FLA We are investigating the Csenge Advisory Group on behalf of an elderly lady who alleges that she was sold an  unsuitable real estate investment trust (REIT).…

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