Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation

Boca Raton, Florida

According to FINRA recordsMatthew J. Ronan  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation.

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.

Ronan’s FINRA record discloses that FINRA instituted an investigation in September 2015 for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010. Examination #20140404879.

Section 5 of the Securities Act of 1933 regulates the timeline and distribution process for issuers who offer securities for sale. FINRA Rule 2010 is entitled Standards of Commercial Honor and Principles of Trade and states that “A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Ronan’s  previous employment includes Wedbush Securities and Oppenheimer & Co.

If you have questions about an account handled by Matthew J. Ronan, call for a no charge consultation.

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

Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation

Boca Raton, Florida

According to FINRA records, Alan R. Pacella  a stock broker who works for ViewTrade Securities  discloses a regulatory matter that has been finalized , a customer dispute that has been finalized and a pending regulatory investigation.

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.

Pacella’s FINRA record discloses that FINRA instituted an investigation in September 2015 for potential violations of Section 5 of the Securities Act of 1933 and FINRA Rule 2010. Examination #20140404879.

Section 5 of the Securities Act of 1933 regulates the timeline and distribution process for issuers who offer securities for sale. FINRA Rule 2010 is entitled Standards of Commercial Honor and Principles of Trade and states that “A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.”

Pacella’s  previous employment includes Mediterranean Securities Group, VFinance Investments and SMH Capital.

If you have questions about an account handled by Alan R. Pacella, call for a no charge consultation.

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

Robert M. Kuhn-Former UBS Broker-DIscloses Customer Dispute and Regulatory Matter-Plano, TX

Plano, Texas

According to FINRA records, Robert M. Kuhn  a stock broker who worked for UBS Financial Services from  9/2011-11/2015 discloses a regulatory matter that has been finalized , a pending customer dispute  and 3 outstanding judgement/liens.

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 May 2016, the Texas State Securities Board (TSSB) suspended Kuhn in his capacity as an investment adviser representative for 30 days and fined him $5,000. The TSSB alleged that Kuhn had personally guaranteed multiple lines of credit on behalf of a private company he invested in, but did not disclose this loan guarantee to UBS.  That company failed and liens were filed against Kuhn who failed to timely disclose the liens on FINRA reporting forms in violation of the Texas Securities Act.

A dispute received in March 2016 alleges damages of $100,000 by a customer who alleges that he was lead to believe by Kuhn that the principal of an annuity was protected against market loss and could never go down. The customer also alleges that the annuity is unsuitable.

If you have questions about an account handled by Robert M. Kuhn, call for a no charge consultation.

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

Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update

February 2017 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.  

JUNE 2016 UPDATE-Padilla named in FINRA complaint for unauthorized purchase of variable annuity. See this link for more information.

San Antonio, Texas

According to FINRA records, Dion R. Padilla  a stock broker who has worked for NEXT Financial Group since 2/2006  discloses that a customer has filed an arbitration seeking damages of $347,000. Padilla also operates Padilla Wealth Management.

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.

The customer alleges that in April 2007 Padilla failed to include a principal protection for life rider in connection with a recommended variable annuity investment.

Padilla discloses that in 2014 a customer alleged that he executed an unauthorized trade involving a variable annuity. That matter was settled for $69,400.

In September 2015 FINRA initiated an investigation of Padilla for a potential violation of FINRA Rule 2010 for making an unauthorized purchase of a variable annuity and other violations related to misrepresentations and omissions. That matter is currently pending.

If you have questions about an account handled by Dion Padilla, call for a no charge consultation.

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

Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator

Odessa, Texas

According to FINRA records, Noe Garcia, Sr.  a former investment company products and variable contracts representative for State Farm VP Management  from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend FINRA reporting forms to disclose a state and a federal tax lien. In addition FINRA alleged that Garcia inaccurately responded on questionnaires that  he was not the subject of an unsatisfied lien.

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.

Garcia was fined $5,000 and suspended in all capacities for three months.

FINRA Case 2015047704001

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