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Unsuitable Investments

Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated
Neeraj Chaudhary- Former Euro Pacific Capital Broker Investigated 150 150 Rex Securities Law

March 10, 2016 Rex Securities Law is investigating former Euro Pacific Capital, Inc. broker Neeraj R. Chaudhary on behalf of a former customer who alleges that he was sold investments,…

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Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX
Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Rex Securities Law

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales
Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales 150 150 Rex Securities Law

December 2, 2015- Boca Raton, FL Summit Brokerage Services  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

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Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds
Bruce Slater Named in $500K FINRA Arbitration-RIdgewood Energy Funds 150 150 Rex Securities Law

Northville, Michigan The Financial Industry Regulatory Authority (FINRA) reports that Bruce Slater of Transamerica Financial Advisors, Inc. has been named in a FINRA arbitration. According to FINRA, the clients allege…

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Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL
Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Rex Securities Law

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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Stock Broker Sanctioned for Sale of GWG Debentures to Retirees
Stock Broker Sanctioned for Sale of GWG Debentures to Retirees 150 150 Rex Securities Law

February 29, 2016- Phoenix, AZ The Financial Industry Regulatory Authority (FINRA) barred Phoenix based broker David Joseph Escarcega for making unsuitable recommendations involving debentures to customers, many of whom were…

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Dallas Broker Wade Lawrence Named in New SEC Complaint
Dallas Broker Wade Lawrence Named in New SEC Complaint 150 150 Rex Securities Law

February 16, 2016- Dallas Texas Wade J. Lawrence, formerly a broker with Southwest Securities and prior to that with Oppenheimer & Co. , was charged by the Securities & Exchange…

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