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vFinance Investments

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX

Douglas J. Williams-VFinance Investments Broker-Discloses $2.5M Customer Dispute-The Woodlands, TX 150 150 Rex Securities Law

The Woodlands, Texas MAY 2017 UPDATE-In September 2016, the customer who filed FINRA arbitration 15-0049, see below,  was paid $420,000 to settle the matter. ORIGINAL POST JUNE 2016– According to FINRA…

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Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation

Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation 150 150 Rex Securities Law

Boca Raton, Florida According to FINRA records, Alan R. Pacella ,  a stock broker who works for ViewTrade Securities  discloses a regulatory matter that has been finalized , a customer dispute that has been finalized…

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Daren Dorval Investigation-Legend Securities Broker

Daren Dorval Investigation-Legend Securities Broker 150 150 Rex Securities Law

FINRA records report that Daren Dorval, who has been registered with Legend Securities since 9/2009, is named in a 3 currently pending arbitrations: FINRA Case 15-802 filed by a Florida…

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Brian K. Decker Investigation-Legend Securities Broker

Brian K. Decker Investigation-Legend Securities Broker 150 150 Rex Securities Law

See this for MAY 2018 UPDATE. Brian Decker barred from securities industry by regulators.  ORIGINAL POST MARCH 2016 FINRA records report that Brian K. Decker, who has been registered with…

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Kuhns Brothers Securities Broker Sanctioned by FINRA

Kuhns Brothers Securities Broker Sanctioned by FINRA 150 150 Rex Securities Law

July 15, 2015- Jeffrey Howard Auerbach ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he violated NASD Rule 3040…

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