Rex Securities Law
September 15, 2021
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Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, 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 September 15, 2021 September 15, 2021

September 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…

ER
August 25, 2021
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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 25, 2021 August 25, 2021

August 2021- New York, NY According to publicly available records, Joseph Ambrosole a currently unregistered financial advisor who last worked for Joseph Stone Capital, discloses 4 prior regulatory events a…

Rex Securities Law
July 27, 2021
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Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, 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 July 27, 2021 July 27, 2021

July 2021- Leander, TX According to publicly available records, Randall H. Fields, a registered investment advisor last employed by Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

Rex Securities Law
February 16, 2019
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Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, 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 February 16, 2019 February 16, 2019

February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales…

Rex Securities Law
March 8, 2018
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Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of Senior

Mark Kaplan-Former Vanderbilt Securities Broker-Barred From Industry for Churning Account of Senior 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 March 8, 2018 September 30, 2018

MARCH 2018 UPDATE–Mark Kaplan was permanently barred from the securities industry by FINRA and , without admitting or denying them, agreed to entry of the following findings: Kaplan exercised de…

Rex Securities Law
June 12, 2017
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First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, TX

First Dallas Securities Sanctioned by Regulators for Overcharging Commissions-Dallas, 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 June 12, 2017 June 12, 2017

March 2017- Dallas, TX According to publicly available records First Dallas Securities Inc. (CRD# 24549) , a brokerage firm with about 24 brokers headquartered in Dallas, Texas, discloses a recent regulatory sanction.…

Rex Securities Law
May 7, 2017
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Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, FL

Christopher R. Hickman-Former Cetera Advisors Broker-Discloses Settlement of Customer Disputes-Delray Beach, 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 May 7, 2017 June 19, 2017

June 2017-Delray Beach, FL The FINRA records of Christopher R. Hickman , a former stockbroker who was last employed as a broker by Cetera Advisors and who is not currently registered, disclose…

Rex Securities Law
April 24, 2017
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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 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 24, 2017 April 24, 2017

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…

Rex Securities Law
October 17, 2016
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Barry M. Kiront-Craft Capital Management Broker Discloses 10 Customer Disputes-Garden City, NY

Barry M. Kiront-Craft Capital Management Broker Discloses 10 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 October 17, 2016 April 21, 2018

APRIL 2018 UPDATE–Barry Kiron’ts FINRA record currently discloses 13 prior customer disputes. October 2016-Garden City, NY The FINRA records of Barry M. Kiront, a stockbroker who is currently employed by Craft Capital Management disclose 10 prior…

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