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Monthly Archives :

February 2017

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL

Alejandro Falla-Former Ultralat Capital Markets Broker-Sanctioned by Securities Regulator-Coral Gables, FL 150 150 Rex Securities Law

February 2017-Coral Gables, FL According to publicly available records Alejandro Falla , (CRD# 5064828) ,  a  former stockbroker who was last employed by  BAC Florida Investments,  disclose  a recent regulatory sanction. The Financial Industry Regulatory Authority (FINRA) is…

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Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL

Nicolaas P. Pronk-Noble Capital Named in Complaint Over Sale of AdCare Health Systems Stock-Boca Raton, FL 150 150 Rex Securities Law

November 2016-Boca Raton, FL According to publicly available records Nicolaas P. Pronk , (CRD# 1726101) ,  a  stockbroker who is employed by  Noble Capital Markets,  disclose  a pending regulatory matter. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL

Mark R. Holcombe-Former Source Capital Broker-Sanctioned by Securities Regulator-Pompano Beach, FL 150 150 Rex Securities Law

December 2016-Pompano Beach, FL According to publicly available records Mark R. Holcombe , (CRD# 2901441) ,  a  stockbroker who is currently under suspension who was last employed by  Source Capital Group,  disclose  a recent regulatory…

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Red River Securities and Brian Hardwick Sanctioned for Fraudulent Oil and Gas Deals-Plano, TX

Red River Securities and Brian Hardwick Sanctioned for Fraudulent Oil and Gas Deals-Plano, TX 150 150 Rex Securities Law

February 2017- Plano, Texas In a news release dated February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel expelled Plano, Texas based brokerage firm…

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Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX

Patrick O. Howard, Optimal Economics Capital Prnrs, Howard Capital Named in Regulatory Action-Dallas, TX 150 150 Rex Securities Law

February 2017-Dallas, Texas Patrick O. Howard and two companies he controls, Optimal Economics Capital Partners and Howard Capital Holdings were named in a complaint filed by The Securities and Exchange…

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Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX 150 150 Rex Securities Law

July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…

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Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL

Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Rex Securities Law

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

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David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Rex Securities Law

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

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Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL

Brett S. Murphy-Former Oppenheimer Broker-Discloses $2M Pending Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

February 2017-Boca Raton, FL According to publicly available records Brett S. Murphy , (CRD# 2434384) ,  a  stockbroker who is currently registered with Revere Securities, LLC  disclose a pending customer dispute.  The Financial Industry Regulatory Authority…

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