Churning Archives - Page 5 of 28 - Rex Securities Law-BLOG

Rex Securities Law
April 17, 2021
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Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts

Triad Advisors to Pay $194,000 in Fines and Restitution for Allowing Churning of Accounts https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 17, 2021 April 17, 2021

February 2020-Norcross, GA FINRA reports that Triad Advisors,LLC, a national, independent broker-dealer and multi-custodial SEC-Registered Investment Advisor, headquartered in Atlanta, has been fined and ordered to pay restitution to customers…

Rex Securities Law
November 3, 2020
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Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL

Stuart Henley-Former Morgan Stanley Broker- Discloses Regulatory Event,Customer Dispute Settled for $800K and a Termination-Tampa, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 3, 2020 November 3, 2020

November 2020- Tampa, FL According to publicly available records Stuart Henley (CRD#1368973), a former stockbroker who last worked for Harmony Asset Management, discloses a regulatory event, a final customer dispute…

Rex Securities Law
October 20, 2020
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Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX

Peter D Nett-Ameriprise Broker- Discloses Pending Customer Dispute-The Woodlands, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 20, 2020 October 20, 2020

October 2020- The Woodlands, TX According to publicly available records, Peter Dieter Nett (CRD#4506990), a stockbroker employed with Ameriprise Financial Services, Inc., disclose a recently filed customer dispute. The Financial…

Rex Securities Law
February 7, 2020
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Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ

Ramon Arturo Herrera-Former Wells Fargo Broker-Discloses Customer DIsputes Alleging Theft-Jersey City, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 7, 2020 February 7, 2020

February 2020-Jersey City, NJ According to publicly available records of Ramon Arturo Herrera (CRD#6021170) , a former stockbroker who last worked for Wells Fargo Clearing Services, discloses 2 regulatory events and…

Rex Securities Law
January 30, 2020
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Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, NJ

Philip Joseph Sparacino-Former First Standard Financial Broker- Discloses Regulatory Events,Customer Dispute and Termination- Red Banks, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020-Red Bank, NJ According to publicly available records of Philip Joseph Sparacino (CRD#3243960) , a former stockbroker who last worked for First Standard Financial, discloses 2 regulatory events, a pending…

Rex Securities Law
January 30, 2020
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Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 30, 2020 January 30, 2020

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

Rex Securities Law
January 8, 2020
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Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL. https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 8, 2020 January 8, 2020

January 2020 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

Rex Securities Law
January 2, 2020
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Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY

Douglas Lee-Former Worden Capital Broker- Discloses Customer Disputes-Garden City, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – Garden City, NY The FINRA records of Douglas Lee , a stockbroker who was last employed by Worden Capital Management , disclose a pending customer dispute and 3 prior customer disputes. The…

Rex Securities Law
January 2, 2020
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Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY

Jason P. Collichio-Worden Capital Broker-Discloses Regulatory Matter-Rockville Center.,NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2020 September 8, 2021

September 2021- Rockville Center, NY According to publicly available records Jason Paul Collichio (CRD#4727199) , a stockbroker currently registered with Worden Capital Management discloses a regulatory matter that resulted in a suspension and…