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FInancial Exploitation of the Elderly

Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016
Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016 150 150 Rex Securities Law

August 1, 2016-Lubbock, Texas Lubbock National Bank announces a free seminar on financial exploitation of the elderly to be held on August 3, 2016, at 2:30 PM , at Raider…

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Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL
Chazon Stein-Former Primex Stock Broker-Discloses Permanent Bar from Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

July 2016-Boca Raton, Florida The FINRA records of Chazon Stein (also known as Chaz Stein, Chazoni Stein & Zoni Stein) , a  currently unlicensed stockbroker who last worked for  Primex , disclose a prior regulatory event and 2 prior…

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Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer
Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 150 150 Rex Securities Law

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…

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Minerva-Rockdale E&P III-How to Recover Investment Losses
Minerva-Rockdale E&P III-How to Recover Investment Losses 150 150 Rex Securities Law

Investors who have losses as a result of investing in Minerva-Rockdale E&P III may be able to recover some or all of their  losses through arbitration. On May 16, 2016,…

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David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Rex Securities Law

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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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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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities
Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY 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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Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients
Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Rex Securities Law

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments
Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 150 150 Rex Securities Law

 MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

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