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Park Avenue Securities

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales 150 150 Rex Securities Law

April 2018 The FINRA records of Park Avenue Securities ,  a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…

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Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York

Scott D. Offerman-Former Concorde Investment Services Broker-Discloses Termination from Employment/ Liens-New York 150 150 Rex Securities Law

June 2017- New York According to publicly available records Scott David Offerman  (CRD#4619093) ,  a  stockbroker who currently is employed by Sandlapper Securities ,  discloses a termination from employment and 9 outstanding judgment/liens. The…

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Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes

Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes 150 150 Rex Securities Law

UPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…

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Ronnie W. Shaffer-OneAmerica Securities Broker-Discloses Outstanding Judgements/Liens

Ronnie W. Shaffer-OneAmerica Securities Broker-Discloses Outstanding Judgements/Liens 150 150 Rex Securities Law

July 2016- Tyler, Texas The FINRA records of Ronnie W. Shaffer  , a stock broker who works for OneAmerica Securities, disclose  7 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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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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Garland Texas Broker Sanctioned by FINRA

Garland Texas Broker Sanctioned by FINRA 150 150 Rex Securities Law

Lloyd J. Chappell of Garland, Texas was suspended for four months and received a deferred fine of $5,000 by the Financial Industry Regulatory Authority (FINRA) on findings that on two…

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Texas State Securities Board Revokes License of Lloyd J. Chappell

Texas State Securities Board Revokes License of Lloyd J. Chappell 150 150 Robert H. Rex

By Robert H. Rex, Esq. On January 13, 2014, the Texas State Securities Board (TSSB) revoked the securities license of Lloyd J. Chappell. According to official records of the Financial…

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Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes

Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes 150 150 Rex Securities Law

UPDATE July 2016– FINRA records disclose that Darrell G. Frazier has 17 customer disputes pending and 21 customer disputes that are final. Frazier was employed by MML Investors Services from…

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Park Avenue Securities/MML Investors Services Broker Barred From Securities Industry-Theft From Elderly Client

Park Avenue Securities/MML Investors Services Broker Barred From Securities Industry-Theft From Elderly Client 150 150 Rex Securities Law

Martin B. Feibish was recently barred from the industry by FINRA for stealing millions from an elderly client in a decade long trail of deceit. Without admitting or denying anything,…

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