recover losses for stockbroker churning Archives - Page 2 of 2

Rex Securities Law
July 18, 2016
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David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA

David M. Levy-Former Newport Coast Securities Broker-Barred by FINRA 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 July 18, 2016 March 1, 2017

UPDATE November 2016-Wellington, FL —FINRA permanently barred David Michael Levy finding that the trading activity in all of the customer accounts at issue was excessive and inconsistent with the customer’s…

Rex Securities Law
June 22, 2016
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Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses Customer Disputes

Benjamin G. Aibel-Former Wunderlich Securities Broker-Discloses Customer Disputes 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 June 22, 2016 June 22, 2016

New York According to FINRA records, Benjamin G. Aibel , a stockbroker who formerly worked for Wunderlich Securities , discloses two pending customer disputes and 4 prior customer disputes that are resolved. The Financial Industry Regulatory…

Rex Securities Law
May 15, 2016
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James R. Blinkhorn-Former Wedbush Securities Broker-Settles Customer Churning Claim for $1.1 Million

James R. Blinkhorn-Former Wedbush Securities Broker-Settles Customer Churning Claim for $1.1 Million 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 May 15, 2016 May 15, 2016

Staten Island, 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 complaints and…

Rex Securities Law
March 30, 2016
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Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL

Aldo Comuzzi Investigation-Dawson James Securities-Boca Raton,FL 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 30, 2016 May 4, 2016

Aldo Comuzzi, a stockbroker who formerly worked for Dawson James Securities in Boca Raton, FL, was named in FINRA Arbitration 15-01203, alleging that Comuzzi traded the customer’s account without permission.…

Rex Securities Law
March 18, 2016
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Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint

Edward Beyn-Former Craig Scott Capital Broker-Named In FINRA Churning Complaint 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 18, 2016 January 8, 2017

March 16, 2016-Uniondale, New York Beyn’s Excessive Trading Generated Commissions of $1.7M The Financial Industry Regulatory Authority (FINRA) filed a complaint against former Craig Scott Capital broker Edward Beyn alleging…

Rex Securities Law
November 19, 2015
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Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators

Aldo Comuzzi-Dawson James Securities Broker – Sanctioned by Securities Regulators 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 November 19, 2015 May 4, 2016

UPDATE–Comuzzi named in customer arbitration alleging unauthorized trading. Case settled for $65,000. See this for more. September 15, 2015- Boca Raton, FL Aldo Comuzzi , entered into a Letter of Acceptance Waiver…