stockbroker negligence Archives - Page 129 of 149

Rex Securities Law
March 30, 2016
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Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland Texas

Derek Nelson Sentenced to 19 Years-Real Estate Fraud-Garland Texas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 30, 2016 August 4, 2016

March 29, 2016-Garland, Texas The Texas State Securities Board (TSSB) announced that Derek A. Nelson was sentenced to 19 years in connection with a $37 million fraud he operated selling…

Rex Securities Law
March 28, 2016
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Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas

Richard S. Sadowski-G A Repple Broker- Discloses Customer Complaints -Hot Springs, Arkansas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2016 April 26, 2017

March 28, 2016-Hot Springs, Arkansas According to FINRA records, G.A. Repple broker Richard S. Sadowski has 13 customer disputes reported, including: FINRA Case No 13-3205– A customer alleged that Sadowski,…

Rex Securities Law
March 26, 2016
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Salvatore Pizzimenti Investigation-Legend Securities Broker

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

FINRA records report that Salvatore Pizzimenti , who has been registered with Legend Securities since 8/2011 , has been named in four customer disputes that have been resolved, including: FINRA Case 12-2703 filed while Pizzimenti…

Rex Securities Law
March 26, 2016
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John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York

John Cangialosi -Worden Capital Management Broker-Discloses Customer Dispute Alleging Churning-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2016 September 8, 2019

September 2019-New York FINRA records disclose that John S. Cangialosi, who is currently registered with Worden Capital Management, has two prior regulatory events, a currently pending customer dispute, 7 prior customer…

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

Daren Dorval Investigation-Legend Securities Broker https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.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 25, 2016
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Recovery Options for Investors Purchasing Private Placements From World Equity Group

Recovery Options for Investors Purchasing Private Placements From World Equity Group https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 25, 2016 March 25, 2016

If you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…