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Monthly Archives :

March 2017

How to Recover Losses on United Development Funding IV (UDF IV)

How to Recover Losses on United Development Funding IV (UDF IV) 150 150 Rex Securities Law

March 2017 Investors who have suffered losses on United Development IV (UDF IV)  may be able to recover damages through FINRA arbitration,  a dispute resolution process that is much more…

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Mark A. Trewitt-VFG Securities Broker-Discloses Pending Customer Disputes-Plano, TX

Mark A. Trewitt-VFG Securities Broker-Discloses Pending Customer Disputes-Plano, TX 150 150 Rex Securities Law

May 2017-Plano, Texas According to publicly available records Mark A. Trewitt , (CRD# 1364490) ,  a   stockbroker who works for VFG Securities discloses 4 pending customer disputes and a prior customer dispute that has…

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Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX 150 150 Rex Securities Law

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla ,  a  stockbroker who formerly worked for NEXT Financial ,  disclose a prior regulatory suspension and five…

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San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 150 150 Rex Securities Law

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc.  (IPI)  was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

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Chad Sayers Indicted for Fraud-Dallas, Texas

Chad Sayers Indicted for Fraud-Dallas, Texas 150 150 Rex Securities Law

March 2017-Sherman, Texas Carlton Chadbourne Sayers (‘Chad”), 51, of Dallas was indicted for fraud by a Federal Grand Jury for the Eastern District of Texas according to a press release…

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Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York

Tyre F. Newsome-Former Cape Securities Broker-Discloses Termination and Outstanding IRS Lien-New York 150 150 Rex Securities Law

July 2017-New York According to publicly available records Tyre F. Newsome , (CRD# 4812894) ,  a   stockbroker who is  currently registered with Windsor Street Capital , disclose  a prior customer dispute,…

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Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN

Aegis Capital Corp. Discloses Investigation by FINRA, SEC & FINCEN 150 150 Rex Securities Law

March 2017-New York According to publicly available records filed with the Securities & Exchange Commission, Aegis Capital Corporation is being investigated by three regulatory agencies: FINRA-The Financial Industry Regulatory Authority SEC-Securities &…

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Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA

Joel H. Kassewitz-Former Credit Suisse Broker-Discloses Customer Disputes-Coral Gables, FLA 150 150 Rex Securities Law

February 2017-Coral Gables, FL According to publicly available records Joel H. Kassewitz , (CRD# 1674124) ,  a   stockbroker who is  not currently registered discloses one pending and seven prior, final customer disputes.…

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Jeffrey J. Drapala-Raymond James Broker-Discloses Customer Dispute-Delray Beach, FL

Jeffrey J. Drapala-Raymond James Broker-Discloses Customer Dispute-Delray Beach, FL 150 150 Rex Securities Law

February 2017-Delray Beach, FL According to publicly available records Jeffrey J. Drapala , (CRD# 1674124) ,  a   stockbroker who is  currently employed by Raymond James Financial Services discloses a pending customer dispute.…

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