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Wunderlich Securities (now B. Riley Wealth Management)

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY 150 150 Rex Securities Law

January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed  by NEXT Financial Group , disclose  that he was barred by securities regulators, a recent…

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Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute

Bassam A. Salem-Wunderlich Securities Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

Birmingham, Michigan According to FINRA records,  Bassam A. Salem,  a stockbroker  who currently works for Wunderlich Securities ,  discloses  a pending customer dispute and a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI

Michael J. Hebner-Former Wunderlich Securities Broker-Discloses Pending Customer Dispute-Flint, MI 150 150 Rex Securities Law

Flint, Michigan According to FINRA records,  Michael J. Hebner,  a stockbroker  who currently works for IFS Securities ,  discloses  a pending customer dispute,  four prior final customer disputes and a termination. The Financial Industry Regulatory…

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Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments

Murray B. Roark-Wunderlich Securities Broker-Discloses Pending Customer Dispute Over Energy Investments 150 150 Rex Securities Law

Dallas, Texas According to FINRA records,  Murray B. Roark,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute and  three prior final customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH

Ralph E. Derose-Wunderlich Securities Broker-Order to Pay $1M For Energy Stock Losses-Cleveland, OH 150 150 Rex Securities Law

Beachwood, Ohio MAY 2017 UPDATE-In 4/2017 a FINRA arbitration panel in Cleveland, OH, awarded a couple over $1 million in FINRA Case #16-0575, Holmes v Wunderlich Securities and Ralph DeRose.…

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Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits

Ronald A. Frumkes-Former Wunderlich Securities Broker-Discloses Settlement of Customer Suits 150 150 Rex Securities Law

April 2019- New York According to FINRA records,  Ronald A. Frumkes,  a stockbroker  who is not currently registered with any firm and  who last worked  for Wunderlich Securities ,  discloses  three prior…

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Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY

Humbert B. Powell-Wunderlich Securities Broker-Discloses Customer Dispute-NY 150 150 Rex Securities Law

New York According to FINRA records,  Humbert B. Powell, III ,  a stockbroker  who works for Wunderlich Securities ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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