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New England Securities

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX 150 150 Rex Securities Law

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

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Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX

Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX 150 150 Rex Securities Law

October 2017-San Antonio, TX  We are currently investigating Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…

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Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX

Thomas H. Oliphint-Former LPL Financial Broker-Discloses Customer Disputes and Termination From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017-San Antonio, TX  According to publicly available records Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial  discloses  2 prior customer…

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William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX

Billy Fox-First Allied Securities Broker-Discloses Pending Customer Dispute-Austin, TX 150 150 Rex Securities Law

February 2020-Austin, Texas The FINRA records of  William F.  “Billy” Fox,  a  stockbroker who is currently employed by  First Allied Securities  disclose 2 prior customer disputes that are final and one currently pending…

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Fitzhugh Duggan -Former Sandlapper Securities Broker-Sanctioned by FINRA-Colorado Springs, CO

Fitzhugh Duggan -Former Sandlapper Securities Broker-Sanctioned by FINRA-Colorado Springs, CO 150 150 Rex Securities Law

JUNE 2017 UPDATE-Colorado Springs, CO In January 2015 Fitzhugh L. Duggan III  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that…

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Austin Texas New England Securities Broker Sanctioned

Austin Texas New England Securities Broker Sanctioned 150 150 Rex Securities Law

October 3, 2013 Matthew King Absher, formerly a broker with New England Securities entered into a Letter of Waiver Acceptance and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to…

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Jay John Soojian Sanctioned by Regulators for Sale of Osiris Securities

Jay John Soojian Sanctioned by Regulators for Sale of Osiris Securities 150 150 Rex Securities Law

In July 2014 Jay John Soojian entered submitted a Letter of Acceptance, Waiver and Consent to the Financial Industry Regulatory Authority (FINRA)  to resolve allegations that he he fraudulently omitted…

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Former New England Securities Broker Timothy Coyle Fined & Suspended by FINRA

Former New England Securities Broker Timothy Coyle Fined & Suspended by FINRA 150 150 Rex Securities Law

By Robert H. Rex, Esq.    In January 2014, FINRA announced that Timothy John Coyle of Palm Harbor, Florida, was fined $5,000 and suspended for six months based upon findings…

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