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H.J. Sims & Co.

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL

Adam Goodman-Stoever Glass & Co. Broker-Sued for $500K-Boca Raton, FL 150 150 Rex Securities Law

April 2021- Boca Raton, FL The FINRA records of  Adam C. Goodman ,  a  registered stock broker who recently left Herbert J. Sims to join Stoever, Glass & Co. ,  disclose  2 pending customer…

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Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL

Larry C. Wolfe-Former Herbert J. Sims Stockbroker-Sued by Customers/Discharged & Barred From Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

MAY 2018 UPDATE ON LARRY WOLFE-BOCA RATON, FL-FINRA records disclose that Wolfe was permanently barred from securities industry in 2/2018 for failing to respond to FINRA request for information. In…

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Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL

Larry C. Wolfe-Herbert J. Sims Stockbroker-Named in $1.5M Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

May 2016-Boca Raton, FL 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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Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton

Alan Z. Appelbaum Investigation-Former HJ Sims Broker Subject of $1.8M Customer Suit-Boca Raton 150 150 Rex Securities Law

November 2019 Update The FINRA records of Alan Z. Appelbaum , a stockbroker who was last employed by  Aegis Capital , disclose 3 regulatory events, 4 pending customer disputes and  9 prior customer disputes. The…

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Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL

Michael Stern-Former HJ Sims/Newbridge Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Rex Securities Law

JUNE 2017- Boca Raton, FL A review of FINRA records reveals that Michael B. Stern,  is not currently licensed to act as a broker or as an investment adviser according to…

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Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL

Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL 150 150 Rex Securities Law

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was  registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

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