Selling Away Archives - Page 3 of 11 - Rex Securities Law-BLOG

Rex Securities Law
August 25, 2021
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Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, TX

Kelvin Ramirez–Pleads Guilty to Wire Fraud-Houston, 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 August 25, 2021 August 25, 2021

August 2021 – Houston, Texas According to a press release from the Department of Justice, Houston resident Kelvin Ramirez, age 25, has pleaded guilty to defrauding investors by promising high rates of…

Rex Securities Law
August 21, 2021
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David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 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 21, 2021 August 25, 2021

August 2021 According to publicly available records David Alan Levine (CRD#4895654) , a former stockbroker who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

ER
August 18, 2021
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Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ

Todd Phillips -Former Moloney Securities Broker-Suspended by FINRA-Gilbert, AZ 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 August 18, 2021 August 18, 2021

August 2021 – Gilbert, AZ According to publicly attained records, David “Todd” Phillips, a stockbroker who is not currently registered and who was last employed by Moloney Securities, Co., Inc. ,…

Rex Securities Law
July 24, 2021
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Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, 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 24, 2021 July 24, 2021

July 2021- Conroe, TX We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

ER
July 22, 2021
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Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL

Michael Dellaporta, Jr.-Former B.B. Graham & Company-Permanently Barred From FINRA-Ft. Lauderdale, FL 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 July 22, 2021 July 23, 2021

July 2021- Ft. Lauderdale, FL According to publicly available records Michael Dellaporta, Jr. (CRD#500214), a former stockbroker who last worked for B.B. Graham & Company, Inc., has been permanently barred…

Rex Securities Law
July 22, 2021
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David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH 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 22, 2021 July 22, 2021

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a former stockbroker who last worked for Securities America, Inc., has been permanently barred from FINRA. The Financial…

Rex Securities Law
July 20, 2021
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Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 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 20, 2021 July 20, 2021

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a former stockbroker who last worked for Westpark Capital, has been permanently barred from FINRA. The Financial…

Rex Securities Law
July 5, 2021
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Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA 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 5, 2021 July 5, 2021

July 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a former stockbroker who last worked for Allstate Financial Services, has been permanently barred from FINRA. The Financial…

Rex Securities Law
December 2, 2020
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Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, NY

Jeffrey Alan Blutstein-Former Kestra Broker-Permanently Barred From FINRA-Holbrook, 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 December 2, 2020 December 2, 2020

December 2020- Holbrook, NY According to publicly available records Jeffrey Alan Blutstein (CRD#1398688), a former stockbroker who last worked for American Portfolios Financial Services, discloses a regulatory event and a…