Rex Securities Law
March 7, 2018
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 7, 2018 February 27, 2019

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,…

Rex Securities Law
November 5, 2014
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 5, 2014 June 8, 2016

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…

Rex Securities Law
September 8, 2014
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Former LPL Broker Sanctioned By Securities Regulators-Unauthorized Trading

Former LPL Broker Sanctioned By Securities Regulators-Unauthorized Trading https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 8, 2014 February 9, 2015

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…

Rex Securities Law
October 17, 2013
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Tampa J.W. Cole Broker Fined $250K For “Free Riding”

Tampa J.W. Cole Broker Fined $250K For “Free Riding” https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 17, 2013 December 26, 2014

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…

Rex Securities Law
February 15, 2013
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FINRA Announces February 2013 Disciplinary Actions

FINRA Announces February 2013 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 15, 2013 October 18, 2014

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…

Rex Securities Law
December 17, 2012
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FINRA Announces December 2012 Disciplinary Actions

FINRA Announces December 2012 Disciplinary Actions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 17, 2012 October 18, 2014

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…