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First Midwest Securities

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales

Shawn Burns-former Salomon Whitney Broker- Named in Customer Arbitrations Alleging High Pressure Stock Sales 150 150 Rex Securities Law

APRIL 2018 UPDATE-As of April 2018, Shawn Burn’s FINRA record discloses a final regulatory event, 20 prior and one pending customer disputes, 2 terminations from employment, a chapter 7 bankruptcy…

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Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint

Gary B. Weiss-Former Salomon Whitney Financial Broker-Settles Churning Complaint 150 150 Rex Securities Law

April 2018 UPDATE-New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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Mario Gogliormella Investigation-Legend Securities Broker

Mario Gogliormella Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Mario Gogliormella , who has been registered with Legend Securities since 12/2010 , is currently named in three pending customer disputes: FINRA Case 15-3487 alleging unsuitability and breach…

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Coastal Equities Broker Michael Donnelly Sanctioned by Securities Regulator-Discharged for Misappropriating Client Funds

Coastal Equities Broker Michael Donnelly Sanctioned by Securities Regulator-Discharged for Misappropriating Client Funds 150 150 Rex Securities Law

October 2015 UPDATE-Michael Donnelly admits stealing $2M from his elderly clients. See this for more. October 5, 2014-Newark, Delaware Michael E. Donnelly  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with…

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Raymond T. Clark Named in Complaint by Securities Regulator

Raymond T. Clark Named in Complaint by Securities Regulator 150 150 Rex Securities Law

November 24,2014 The Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against Raymond T. Clark alleging: that FINRA began investigating whether Clark executed excessive and/or unauthorized trades in customer…

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