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Wells Notice

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Rex Securities Law

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY

Daniel T. Fischer-Former Four Points Capital Partners Broker-Barred From Securities Industry-Melville, NY 150 150 Rex Securities Law

UPDATE FEBRUARY 2018-The SEC barred Daniel T. Fischer indefinitely from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. ORIGINAL POST-January 2018-Melville, New…

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Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice

Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice 150 150 Rex Securities Law

UPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details.  UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…

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Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry

Bahram Mirhashemi-Former Accelerated Capital Group Broker-Discharged & Barred from Securities Industry 150 150 Rex Securities Law

July 2016 The FINRA records of Bahram Mirhashemi  , a stock broker who formerly was employed by Accelerated Capital Group  , disclose 2 prior final regulatory events,  a currently pending regulatory event, 5 currently  pending customer disputes, a prior final customer…

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John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning

John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Rex Securities Law

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX

Richard Poston-Former H. Beck Broker-Discloses Settlement with Customer-Plano, TX 150 150 Rex Securities Law

Plano, Texas UPDATE APRIL 2017-FINRA records reveal that Richard E. Poston is not currently registered as a broker. In July 2016, FINRA case # 16-0766, see below,  was settled for…

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Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration

Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration 150 150 Rex Securities Law

September 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015  for failing…

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