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Oppenheimer & Co. problem

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute

Anthony Mazzo-Former UBS Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

November 2016-Palm Beach, Florida The FINRA records of  Anthony J. Mazzo,  a  stockbroker who is currently  employed by  BB&T Securities disclose 4 prior customer disputes that have been resolved, a currently pending customer dispute and…

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Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing

Mark S. Garfinkel-Oppenheimer Broker, Boca Raton-Discloses Customer Disputes and Bankruptcy Filing 150 150 Rex Securities Law

August  2016-Boca Raton, Florida The FINRA records of Mark S. Garfinkel ,  a  stock broker who is currently employed  by Oppenheimer & Co.  , disclose  five prior  customer disputes and and one financial event. The Financial Industry Regulatory…

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Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint

Allen B. Holeman-David Lerner Broker-Discloses Regulatory Complaint 150 150 Rex Securities Law

July 2016- Syosset, NY The FINRA records of Allen B. Holeman  , a stock broker who works for David Lerner Associates  , disclose  a currently pending regulatory matter and 2 outstanding judgement/liens The Financial Industry Regulatory Authority (FINRA) is…

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Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX

Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX 150 150 Rex Securities Law

Houston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico,   sought damages of $17 million  From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…

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Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ

Gabriel Block Barred From Securities Industry-Oppenheimer & Co.-Red Bank, NJ 150 150 Rex Securities Law

MAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details.  May 2016- Red Bank, NJ…

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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX

Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 150 150 Rex Securities Law

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

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Dallas Broker Wade Lawrence Named in New SEC Complaint

Dallas Broker Wade Lawrence Named in New SEC Complaint 150 150 Rex Securities Law

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

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Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX

Former Southwest Securities Broker Sentenced for Fraud- Dallas, TX 150 150 Rex Securities Law

January 21, 2016 – Dallas Texas Former  Southwest Securities broker Wade J. Lawrence was sentenced to three years in prison for fraud, according to the Dallas Morning News. According to…

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