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Monthly Archives :

April 2017

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX
German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

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Three Arrested in Investment Scheme-San Antonio, TX
Three Arrested in Investment Scheme-San Antonio, TX 150 150 Rex Securities Law

April 2017- San Antonio, TX The U.S. Attorney’s Office for the Western District of Texas announced the arrest of three men who face federal charges for their alleged  roles in…

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Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase
Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase 150 150 Rex Securities Law

April 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay  a former customer compensatory damages of $536,720 together with a like amount…

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SEC Warns Investors– Beware of Fake News
SEC Warns Investors– Beware of Fake News 150 150 Rex Securities Law

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

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Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons
Berthel Fisher & Broker Jeffrey Dragon Named in FINRA Complaint for Overcharging Commissons 150 150 Rex Securities Law

April 2017-Burlington, MA Berthel Fisher & Company and one of their brokers Jeffrey P. Dragon were named in a FINRA complaint alleging that Dragon generated more than $421,000 in concessions…

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Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY
Investigation of Capitol Securites Broker Ian Greenblatt (aka Eric Green )-Melville, NY 150 150 Rex Securities Law

April 2017- Melville, New York The FINRA records of  Ian Greenblatt (aka Eric Green ) ,  a  stockbroker who is  employed by  Capitol Securities Management  disclose 3 prior final customer disputes. The Financial Industry Regulatory…

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Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ
Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ 150 150 Rex Securities Law

UPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…

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Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX
Matthew W. Fox-Wayne Energy-Named in SEC Fraud Complaint-Plano, TX 150 150 Rex Securities Law

April 2017-Plano, Texas The Securities and Exchange Commission charged Matthew W. Fox of Plano, TX, and his company Wayne Energy with securities fraud in connection with a joint venture formed…

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Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Rex Securities Law

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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