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Monthly Archives :

April 2016

Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute

Thomas Tedeschi-Former Aegis Capital Broker-Named in Customer Dispute 150 150 Rex Securities Law

UPDATE APRIL 2017-In October 2016 Thomas Tedeschi was suspended for a week for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA…

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Daniel McCourt-Foothills Securities Broker-Update on Investigation

Daniel McCourt-Foothills Securities Broker-Update on Investigation 150 150 Rex Securities Law

April 17, 2016 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…

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Michael J. Smeriglio Customer Paid $2.5 Million Settlement

Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Rex Securities Law

April 2016-Trumbull, CT 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…

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Enver Alijaj-Investigation Update-Former Legend Securities Broker

Enver Alijaj-Investigation Update-Former Legend Securities Broker 150 150 Rex Securities Law

April 13, 2016 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…

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Losses On Servergy, Inc ? – Recovery Options for Investors

Losses On Servergy, Inc ? – Recovery Options for Investors 150 150 Rex Securities Law

April 12, 2016-Fort Worth, Texas The Securities and Exchange Commission (SEC) filed fraud charges against McKinney, TX based Servergy, Inc. , William E. Mapp III, Caleb J. White and Texas attorney general…

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David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX

David Williams-WFG Investments Broker- Discloses Settlement of Servergy Suit-Dallas, TX 150 150 Rex Securities Law

Dallas, Texas UPDATE JUNE 2017-David W. Williams discloses that FINRA Case 16-00346, see below, was settled for $250,000 in 12/2016. ORIGINAL POST-April 12, 2016 The FINRA records of David W. Williams,…

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Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator

Carl Busch-WFG Investments Broker-Sanctioned by Securities Regulator 150 150 Rex Securities Law

December 30, 2015-Oklahoma City, OK Carl W. Busch , a broker with WFG Investments, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve…

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“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Rex Securities Law

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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Eric Johnson Investigation Update-Former Redridge Securities Stock Broker

Eric Johnson Investigation Update-Former Redridge Securities Stock Broker 150 150 Rex Securities Law

April 12, 2016 In October 2014, former Redridge Securities stock broker Eric W. Johnson was barred from the securities industry for failing to cooperate with a FINRA investigation of allegations…

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