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Monthly Archives :

March 2016

Daniel and Matthew Rivera Ponzi Scheme-Robbins Lane

Daniel and Matthew Rivera Ponzi Scheme-Robbins Lane 150 150 Rex Securities Law

March 30, 2016 The U.S. Securities and Exchange Commission charged Daniel Rivera and his brother Matthew Rivera, and their company, with a $2.7 million Ponzi scheme targeting elderly and unsophisticated…

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Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton

Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton 150 150 Rex Securities Law

November 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by  Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and  9 prior customer disputes. The…

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Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients

Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Rex Securities Law

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits

Mark A. Lisser-Former Garden State Securities Broker- Subject of Customer Suits 150 150 Rex Securities Law

September 2019 FINRA records disclose that former Garden State Securities stockbroker Mark A. Lisser has two pending customer disputes , 5 prior customer disputes and a termination from employment. FINRA…

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Raymond Pirrello of Garden State Securities Investigated by Securities Regulator

Raymond Pirrello of Garden State Securities Investigated by Securities Regulator 150 150 Rex Securities Law

http://blog.rexsecuritieslaw.com/2018/03/23/raymond-j-pirrello-jr-churning-investigation/ UPDATE July 2016–Pirrello named in insider trading complaint filed by the Securities and Exchange commission. See this for details.  UPDATE June 2016-Former Garden State Securities stock broker Raymond J. Pirrello…

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Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ

Dwarka Persaud-Former Buckman Buckman & Reid Broker-Discloses Regulatory Suspension/Customer Disputes/ Bankruptcy Filing-Plainfield, NJ 150 150 Rex Securities Law

UPDATE OCTOBER 2017–Dwarka Persaud Suspended-In August 2017 FINRA suspended Persaud for 18 months to resolve allegations that he violated the terms of a heightened supervision agreement which he and his…

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James N. Forster Discharged From Joseph Gunnar & Co.

James N. Forster Discharged From Joseph Gunnar & Co. 150 150 Rex Securities Law

March 23, 2016, NYC According to his official FINRA records, James N. Forster was discharged from Joseph Gunnar & Co. in December, 2015, for “wrongful taking of personal items”. Forster…

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Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Rex Securities Law

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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James Hopkins, Dawson James Securities Broker, Named in Customer Dispute

James Hopkins, Dawson James Securities Broker, Named in Customer Dispute 150 150 Rex Securities Law

James C. Hopkins, a Boca Raton, FL, stockbroker registered with Dawson James Securities, is named in a customer dispute alleging that he made misrepresentations in connection with an investment banking offering…

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