fbpx

FInancial Exploitation of the Elderly

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Rex Securities Law

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records,  Gregory Jon Williams, a former broker who was last employed by  Fort Finanical Group,  discloses  6 pending and  3 prior…

read more

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Rex Securities Law

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

read more

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Rex Securities Law

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

read more

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

read more

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

read more

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

read more

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Rex Securities Law

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

read more

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL

Rita Marie Dulya-Former Kovac Securities Broker-Discloses Pending Criminal Charges- Theft Of a Person 65 or Older-Port St. Lucie, FL 150 150 Rex Securities Law

February 2020- Port St. Lucie, FL The FINRA records of Rita Marie Dulya  , a former stock broker who last worked for Kovack Securities, Inc. , disclose  a regulatory event resulting in a bar from the…

read more

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY

Jaime R. Rodriguez- Former Cuso Financial Services Broker – Permanently Barred from Industry by FINRA for Stealing from Elderly, Blind Customer- Port Chester, NY 150 150 Rex Securities Law

September 2019 – Port Chester, NY The FINRA records of  Jamie R. Rodriguez,  a  former stockbroker who was last employed by Cuso Financial Services disclose he  has been barred from the securities industry…

read more