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J.W. Cole Financial

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas

Bill Downing-Former J.W. Cole Financial Broker-Discloses Customer Dispute & Bar From Securities Industry-Wimberley, Texas 150 150 Rex Securities Law

February 2019-Wimberley, Texas The FINRA records of  William (Bill) Glenn Downing ,  a  former stock broker who was last employed by Coastal Equities Inc.  disclose  a prior regulator event, a pending customer dispute,…

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Ralph Oelbermann, Former LPL Financial/J.W. Cole Broker-Barred From Industry

Ralph Oelbermann, Former LPL Financial/J.W. Cole Broker-Barred From Industry 150 150 Rex Securities Law

UPDATE-May 2015 Oelbermann was permanently barred by FINRA for failing to respond to a FINRA request for information. Link to Oelbermann’s FINRA record.  On October 24, 2014, the Florida Office…

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Former LPL Broker Sanctioned By Securities Regulators-Unauthorized Trading

Former LPL Broker Sanctioned By Securities Regulators-Unauthorized Trading 150 150 Rex Securities Law

In July 2014, the Financial Industry Regulatory Authority (FINRA) fined former LPL Financial broker Richard D. Lewis $5,000 and suspended him for 20 business days for making over 80 discretionary…

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Tampa J.W. Cole Broker Fined $250K For “Free Riding”

Tampa J.W. Cole Broker Fined $250K For “Free Riding” 150 150 Rex Securities Law

  On October 17. 2013, the Tampa Bay Business Journal reported that a fine of nearly a quarter million dollars has been assessed against Joseph Brandon Westphal, a former manager…

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FINRA Announces February 2013 Disciplinary Actions

FINRA Announces February 2013 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces February 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…

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FINRA Announces December 2012 Disciplinary Actions

FINRA Announces December 2012 Disciplinary Actions 150 150 Rex Securities Law

FINRA Announces December 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here…

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