theft by stock broker Archives - Page 2 of 5

Rex Securities Law
September 11, 2019
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Paul (Apostolos) Pitsironis-Former Janney Montgomery Broker- Barred for Stealing From Client

Paul (Apostolos) Pitsironis-Former Janney Montgomery Broker- Barred for Stealing From Client 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 September 11, 2019 January 9, 2020

January 2020 -Melville, New York According to publicly available records Apostolos Nicolas Pitsironis (also known as Paul Pitsironis) , discloses that he was recently barred from the securities industry for…

Rex Securities Law
January 25, 2019
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Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA

Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA 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 January 25, 2019 October 9, 2019

October 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a recent regulatory event resulting…

Rex Securities Law
August 31, 2018
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Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL

Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, 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 August 31, 2018 March 9, 2019

March 2019 – Coral Gables, FL According to FINRA records, Alex Gerardo Herrera, a former stockbroker who last worked for USB Financial Services, discloses 2 prior regulatory events , a current customer dispute…

Rex Securities Law
April 17, 2018
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Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-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 April 17, 2018 April 17, 2018

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

Rex Securities Law
February 26, 2018
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Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 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 February 26, 2018 August 28, 2018

August 2018-Louisville, KY Christopher Lee Hibbard was recently discharged from Merrill Lynch where he had been employed since 7/2010. In April 2018 the US Attorney’s office for the Western District…

Rex Securities Law
February 6, 2018
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Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX

Investigation of NEXT Financial Group RE: Misappropriation of Customer Funds-Houston, TX 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 February 6, 2018 May 19, 2019

May 2019 UPDATE NEXT TO BE PURCHASED BY ATRIA | SANCTIONED OVER MUTUAL FUND SHARES—In January 2019 NEXT Financial Group announced plans to be purchased by private equity backed Atria…

Rex Securities Law
April 26, 2017
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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-

Demitrios Hallas-Former PHX Financial Broker-Named in SEC 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 April 26, 2017 April 26, 2017

April 2017- New York The FINRA records of Demitrios Hallas , a former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

Rex Securities Law
March 1, 2017
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Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty

Peter Martorana, Former Toms River, NJ, Financial Advisor, Pleads Guilty 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 1, 2017 July 7, 2017

February 2017-Toms River, NJ New Jersey 101.5 reports that Wall Township financial advisor Peter Martorana, 62, who worked for Retirement Benefit Specialists, pleaded guilty to accepting checks from elderly clients in…

Rex Securities Law
March 1, 2017
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Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by Regulators

Mark Varacchi and Sentinel Growth Fund Management Accused of Theft by 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 March 1, 2017 March 1, 2017

February 2017- Washington The Securities and Exchange Commission (SEC) charged Sentinel Growth Fund Management and its founder Mark J. Varacchi with stealing money from investors to settle a private lawsuit,…