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Annuities

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas

Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Rex Securities Law

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA

Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin,  a  stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…

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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ

Christopher “Cubby” Bice -Sagepoint Financial Broker-Discloses 3 Pending Customer Disputes and a Termination- Phoenix, AZ 150 150 Rex Securities Law

April 2021- Phoenix, AZ According to publicly available records Christopher  R. “Cubby” Bice (CRD#3222439), a stockbroker employed with Sagepoint Financial, Inc.  discloses three pending customer disputes and a termination from…

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Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD

Investigation of FSC Securities Broker Lee Kramer -West Palm Beach, FL/Frederick, MD 150 150 Rex Securities Law

October 2020- West Palm Beach, Florida/Frederick, Maryland We are investigating FSC Securities Corporation financial advisor Lee R. Kramer. According to publicly available records, Lee R. Kramer discloses 7 prior regulatory…

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William Gordon-Capital Financial Services Broker-Discloses12 Customer Suits-Clearwater, FL

William Gordon-Capital Financial Services Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Rex Securities Law

February 2019 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Capital Financial Services  disclose a prior regulatory event, a pending…

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Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA

Brandon Long-Former BCG Securities Broker-Discloses Customer Suits & Regulatory Actions-Roswell, GA 150 150 Rex Securities Law

February  2019 – Roswell, GA According to public records of Brandon P. Long (CRD#5975459)  a  stockbroker previously employed by BCG Securities,  Inc., discloses a regulatory event, a civil event, 3 customer…

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Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI

Gary Lee Miller-Former LPL Financial Broker-Discloses Customer Dispute Involving Annuities- Eau Claire, WI 150 150 Rex Securities Law

October 2018 – Eau Claire, WI According to publicly available records Gary Lee Miller   (CRD#2669776) ,  a  former stockbroker who was last employed by LPL Financial ,  disclose a settled customer dispute. The Financial Industry…

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