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Borrowing from Customer

George Oldoerp Investigation-Former H. Beck Broker-Corona, CA
George Oldoerp Investigation-Former H. Beck Broker-Corona, CA 150 150 Rex Securities Law

December 2017-San Antonio, Texas – Corona, California We are investigating former H. Beck , Inc. stockbroker George J. Oldoerp in connection with a FINRA arbitration which we have filed on…

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Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX
Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Rex Securities Law

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK
Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK 150 150 Rex Securities Law

March 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) ,  a  currently unregistered stockbroker who previously worked for Edward Jones  disclose a pending regulatory matter, a pending customer dispute and…

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Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes
Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Rex Securities Law

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina
Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina 150 150 Rex Securities Law

August 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…

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Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Rex Securities Law

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

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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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Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension
Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Rex Securities Law

May 2017-Newton, PA 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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Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi
Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 150 150 Rex Securities Law

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

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