Unauthorized Trading Archives - Rex Securities Law-BLOG

ER
June 28, 2023
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James Bernthal-Aegis Capital Broker-Discloses Numerous Customer Disputes- New York, NY

James Bernthal-Aegis Capital Broker-Discloses Numerous Customer Disputes- New York, NY 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 June 28, 2023 June 28, 2023

James Bernthal Investigation June 2023-New York, NY According to publicly available records James R. Bernthal a broker with Aegis Capital Corp., discloses 3 prior and a pending customer dispute. The…

ER
June 26, 2023
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Stephn Marek-Joseph Gunnar Broker-Discloses Customer Disputes-Uniondale, NY

Stephn Marek-Joseph Gunnar Broker-Discloses Customer Disputes-Uniondale, NY 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 June 26, 2023 June 26, 2023

Stephen Marek Investigation June 2023-Uniondale , NY According to publicly available records Stephen Marek a Joseph Gunnar & Co. broker, discloses 2 prior customer disputes and a pending customer dispute. …

ER
June 21, 2023
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Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL

Kevin Klickna – Former Equitable Advisors Broker-Discloses Regulatory Suspension- Rochester, IL 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 June 21, 2023 June 21, 2023

Kevin Klickna Investigation June 2023-Rochester, IL According to publicly available records Kevin Klickna a currently unregistered broker most recently employed with Equitable Advisors discloses a final regulatory matter and a termination…

ER
June 21, 2023
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Edward Short-Laidlaw & Company Advisor Suspended by FINRA – Melville, NY

Edward Short-Laidlaw & Company Advisor Suspended by FINRA – Melville, NY 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 June 21, 2023 June 21, 2023

Edward Short Investigation June 2023-Melville, NY According to publicly available records Edward Scott Short, a broker previously with Laidlaw & Company discloses a final regulatory matter resulting in being permanently…

ER
June 21, 2023
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Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY

Todd Cirella- Laidlaw & Company Broker-Suspended by Regulators -Melville, NY 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 June 21, 2023 June 21, 2023

Todd Cirella Investigation June 2023-Melville, NY According to publicly available records Todd Anthony Cirella a broker with Laidlaw & Company, Ltd., discloses a final regulatory matter resulting in a 3 month…

ER
June 19, 2023
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Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY

Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 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 June 19, 2023 June 20, 2023

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

Rex Securities Law
May 17, 2023
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James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 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 May 17, 2023 May 17, 2023

James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have successfully obtained significant damages for several dozen former customers of James Travis Flynn,…

Rex Securities Law
May 8, 2023
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Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 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 May 8, 2023 May 8, 2023

Stifel Nicolaus Investigation May 2023- Taunton, MA According to publicly available records, Stifel Nicolaus & Co. has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

Rex Securities Law
April 19, 2023
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Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe

Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe 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 April 19, 2023 April 19, 2023

Darryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…