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stockbroker negligence

Rex Securities Law Investigates VSR Financial Services Broker in Seattle, Washington
Rex Securities Law Investigates VSR Financial Services Broker in Seattle, Washington 150 150 Rex Securities Law

Seattle, Washington Rex Securities Law is investigating VSR Financial Services broker Robert M. Hinz, Jr. of Wealth Enhancement Strategies  in connection with the sale of annuities, real estate securities, options,  limited partnerships and direct investments…

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Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Rex Securities Law

Clearwater, Florida Former VSR Financial Services broker Nicholas M.  Giallourakis  discloses 3 prior final customer disputes on his FINRA records. According to FINRA records in 2013 Giallourakis was named in a FINRA arbitration (#13-1526) by a customer…

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Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL
Jesse J. Griffin-Former VSR Financial Broker-Discloses Settlement of Customer Complaints- Palm City, FL 150 150 Rex Securities Law

Rex Securities Law is investigating former VSR Financial Services broker Jesse J. Griffin, Jr. of Palm City, Florida, in connection with the sale of various alternative investments including real estate securities,…

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Boynton Beach, FL Resident Named in Forex Fraud Order
Boynton Beach, FL Resident Named in Forex Fraud Order 150 150 Rex Securities Law

February 4, 2016- Boynton Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) announced that a Federal Court issued a Consent Order against Robert Tripode of Boynton Beach, FL, in…

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Dania Florida Resident Named in Commodities Fraud Action
Dania Florida Resident Named in Commodities Fraud Action 150 150 Rex Securities Law

February 5, 2016- Dania Beach, Florida The U.S. Commodity Futures Trading Commission (CFTC) charged Rico Omar Cox (aka Omar Negron) of Dania Beach, FL, with commodity trading advisor fraud. According…

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Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery
Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery 150 150 Rex Securities Law

January 27, 2016- Maryland Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications…

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James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX
James Anderson-Former WFG Investments Broker-Sanctioned by Securities Regulator- San Antonio ,TX 150 150 Rex Securities Law

January 27, 2016- San Antonio, Texas James W. Anderson entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to…

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NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts)
NEXT Financial Group FIned $125K on Sales of UITs (Unit Investment Trusts) 150 150 Rex Securities Law

January 27, 2016 – Houston, Texas NEXT Financial Group, Inc.  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from May 1,…

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