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Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX

June 2021 – Addison, TX

According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities industry.

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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In June of 2021 in FINRA case#20130335345701, Demetriou was  permanently barred from the securities industry to resolve allegations that he made misrepresentations to prospective investors in connection with his promotion of a Mississippi company involved in speculative real estate investments.    Demetriou was permanently barred from FINRA in all capacities.

In May of 2014 ,  a customer of Private Consulting Group, Inc. alleged unsuitable investments.    The case was settled for $120,000.   Demetriou was personally responsible for the settlement amount.

In June of 2016 the U. S. Treasury filed a tax lien in the amount of $315,908 against Demetriou.

Demetriou was employed by Titan Securities from April of 2009 until he  was barred in June of 2021.  Before that time he was employed with Private Consulting Group, Inc. from November of 2001 until March of 2009.

If you have losses in an account handled by Richard Demetriou, call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Darrin Cohen-Triad Advisors Broker-Discloses $600K in Pending Customer Disputes- Alpharetta, GA

June 2021- Alpharetta, GA

According to publicly available records,   Triad Advisors, Inc. financial advisor Darrin Cohen,  discloses 2 pending customer disputes.

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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In March of 2020, a customer of Triad Advisors filed FINRA case #20-00744- alleging unsuitability with respect to multiple alternative investments and real estate securities.   The alleged damages are $200,000.  This case is pending.

In March of 2020, a customer of Triad Advisors filed FINRA case #20-00890 – alleging unsuitable investments in limited partnerships and real estate investments.    The customer is seeking damages of $400,000.  The case is currently pending.

Cohen  has been employed with Triad Advisors since December of 2014. Cohen also discloses registrations with Wealth Enhancement & Preservation, located in Alpharetta, GA  and Red Triangle LLC, located in Charleston, SC.

If you have losses in an account handled by Darrin Cohen, call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

John Loughran-UBS Financial Broker-Discloses $500K Pending Customer Dispute-NYC

April 2021- New York, NY

According to publicly available records,   UBS Financial Services financial advisor John Loughran,  discloses a pending customer dispute and a prior settled customer dispute.

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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In June of 2019, a customer of UBS filed FINRA case #19-01302- alleging unsuitability and misrepresentation regarding an options overlay strategy investment the unsuitability of  a recommendation to hold the strategy.   The alleged damages are $500,000.

Loughran  has been employed with UBS Financial Services, Inc. since July of 2017.   Before that time he was employed with Merrill Lynch, Pierce, Fenner & Smith.  

If you have losses in an account handled by John Loughran, call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

David Fenning-Morgan Stanley Broker-Discloses Settled 4 Customer Disputes and 1 Pending Customer Dispute-NY, NY

April 2021- New York, NY

According to publicly available records David W. Fenning (CRD#1005307), a stockbroker who works for Morgan Stanley Smith Barney  discloses 4 settled customer disputes and 1 pending customer dispute.

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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

From July of 1997 until July 2011, four customer disputes were filed by customers of UBS Financial Services, Inc. – Fenning’s previous employer – alleging among other things, unsuitable recommendation and misrepresentations in connection with purchase of structured products, notes and preferred stock, breach of fiduciary duty, negligence, fraud and unauthorized trades and transactions.   These cases were cumulatively settled for $369,000.

In May of 2020, FINRA case #20-01343 was filed by a customer of UBS Financial Services, Inc., alleging unsuitability and negligence with respect to recommendations of investment of accounts.   The alleged damages are $173,000 .

Fenning has been employed with Morgan Stanley Smith Barney since May of 2019. Before that he worked with UBS Financial Services, Inc.

If you had an account with David Fenning that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY

April 2021-Great Neck, NY

According to publicly available records, former JP Morgan Securities,  financial advisor Forouzan Pooladi,  has been barred from the securities industry.

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 disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In August of 2020  in FINRA case 201906474601 Pooladi was  permanently barred from the securities industry to resolve allegations that she refused to provide documents and information requested by FINRA in connection with its investigation initiated after receiving a Form U5 from her member firm indicating that Pooladi was terminated for violating an affiliate bank’s policy governing personal finances by conducting numerous transactions under the currency transaction reporting threshold and for performing an affiliate bank transaction between a business customer and husband’s personal affiliate bank account.  Pooladi was permanently barred from FINRA in all capacities.

Pooladi was employed by JP Morgan from April of 2016 until she was terminated in September of 2019 for violating affiliate Bank Policy by conducting numerous transactions under the currency transaction reporting threshold.   

If you have losses in an account handled by Forouzan Pooladi, call to learn how you may be able to recover damages through FINRA arbitration.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

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