wells notice Archives - Rex Securities Law-BLOG

Rex Securities Law
March 27, 2017
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How to Recover Losses on United Development Funding IV (UDF IV)

How to Recover Losses on United Development Funding IV (UDF IV) 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 27, 2017 March 27, 2017

March 2017 Investors who have suffered losses on United Development IV (UDF IV) may be able to recover damages through FINRA arbitration, a dispute resolution process that is much more…

Rex Securities Law
August 14, 2016
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William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers

William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers 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 14, 2016 March 5, 2019

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…

Rex Securities Law
July 20, 2016
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Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice

Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice 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 20, 2016 April 19, 2018

UPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details. UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…

Rex Securities Law
June 6, 2016
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John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 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 6, 2016 May 18, 2017

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

Rex Securities Law
June 6, 2016
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Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX

Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, 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 June 6, 2016 April 28, 2017

Plano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below, was settled for…

Rex Securities Law
May 22, 2016
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Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice 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 22, 2016 March 30, 2017

Chicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…

Rex Securities Law
September 20, 2015
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Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 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 20, 2015 March 16, 2016

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…