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Lack of Due Diligence

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Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN
Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN 150 150 ER

August 2021- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  2 pending customer disputes relating to oil and gas partnerships and…

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How to Recover Your Investment Losses on Northstar Financial (Bermuda)
How to Recover Your Investment Losses on Northstar Financial (Bermuda) 150 150 Rex Securities Law

Northstar Financial (Bermuda) Lawsuit Did you invest in any of the Northstar Financial products ?  Stock Loss Recovery Lawyer If you invested in any of the Northstar Financial products you…

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Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Rex Securities Law

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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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…

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Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI
Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI 150 150 Rex Securities Law

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow  , a broker previously employed  by  Forest Securities, Inc. , disclose  a regulatory event resulting in his bar from the securities industry, two pending customer…

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Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX
Texas Regulators Revoke Gus Marwieh’s Securities Registration-Austin, TX 150 150 Rex Securities Law

October 2019 – Austin, Texas  Texas Securities Commissioner, Travis Iles, revoked the registration of  Gus Marwieh  for fraud related to the sale of pension investments, according to a news release…

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How to Recover Losses on GPB Funds
How to Recover Losses on GPB Funds 150 150 Rex Securities Law

September 2019 In June 2019 GPB Capital reported that their two largest funds have dropped dramatically. GPB Holdings II has dropped by more than 25% and GPB Automotive Portfolio has…

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James T. Flynn-Former VOYA/ Capital Investment Group Broker-Millions Paid Out to Disgruntled Investors-Greenville, SC
James T. Flynn-Former VOYA/ Capital Investment Group Broker-Millions Paid Out to Disgruntled Investors-Greenville, SC 150 150 Rex Securities Law

UPDATED SEPTEMBER 2020-Greer , SC/ Greenville, SC Over the past 2 years we have  successfully obtained significant damages for customers of  t former VOYA Financial Advisors and Capital Investment Group…

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Dexter L. Thomas Litigation Update-June 2019-Dallas, TX
Dexter L. Thomas Litigation Update-June 2019-Dallas, TX 150 150 Rex Securities Law

June 2019  UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…

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