ER
September 23, 2022
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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits 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 September 23, 2022 September 23, 2022

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records, Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

Rex Securities Law
September 1, 2022
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Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, 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 1, 2022 September 1, 2022

Efthimios (Tim) Petrou Investigation September 2022 – Ronkonkoma, NY According to publicly attained records, Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets , discloses a recent…

Rex Securities Law
August 30, 2022
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Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 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 August 30, 2022 August 30, 2022

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

Rex Securities Law
August 24, 2022
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Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for Losses? 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 August 24, 2022 August 24, 2022

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

Rex Securities Law
June 27, 2022
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Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, TX

Perry Abbonizio-Named in Regulatory Actions Over Par Funding Fraud- Fort Worth, 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 27, 2022 June 27, 2022

June 2022- Fort Worth, TX According to publicly available records, Perry S. Abbonizio, a former registered investment advisor and stockbroker , was recently named in a complaint filed by the…

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…

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…

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