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Margin

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota

Regan A. Rohl-Former Wells Fargo Broker-Subject of Numerous Customer Suits Over Oil & Gas Investments-Fargo, N. Dakota 150 150 Rex Securities Law

November 2020- Fargo, N. Dakota The FINRA records of Regan A. Rohl  , a stock broker who was, until recently,  employed by Wells Fargo Advisors Financial Network , disclose  a pending customer dispute and…

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Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM

Jeffrey R. Wilson-Wells Fargo Broker-Customer Wins Arbitration Over Energy Investments-Las Cruces, NM 150 150 Rex Securities Law

January 2018-Las Cruces, NM The FINRA records of  Jeffrey Randolph Wilson  ,  a  stockbroker who is currently  registered with Wells Fargo Clearing Services disclose a currently pending customer dispute over energy investments , a…

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Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Rex Securities Law

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL

Silvano R. Trino-Northeast Securities Broker-Discloses $3.9M Customer Dispute Alleging Churning-Miami, FL 150 150 Rex Securities Law

April 2017-Miami, FL The FINRA records of  Silvano R. Trino ,  a  broker with Northeast Securities   disclose a pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY 150 150 Rex Securities Law

April 2017-Mitchelfield, NY The FINRA records of  Jonathan M. Zucker ,  a  broker with Northeast Securities   disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Rex Securities Law

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY 150 150 Rex Securities Law

April 2017- Hauppauge, NY The FINRA records of  John David Fenimore ,  a  former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…

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Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Rex Securities Law

November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…

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