Annuities Archives - Page 3 of 9 - Rex Securities Law-BLOG

Rex Securities Law
November 13, 2017
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Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Rex Securities Law
October 22, 2017
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Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX

Bill A. Holubec-Former Royal Alliance Stockbroker-Subject of Customer Suit-San Angelo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 22, 2017 October 22, 2017

October 2017-San Angelo, Texas We are investigating former Royal Alliance Associates stockbroker Bill A. Holubec. Publicly available records of Bill A. Holubec, (CRD# 1304064) , disclose that a Royal Alliance customer has filed…

Rex Securities Law
October 15, 2017
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Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 15, 2017 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

Rex Securities Law
June 27, 2017
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Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA

Keith Fontenot-Wells Fargo Clearing Services, Inc. Broker- Discloses 2 Customer Disputes – Lafayette, LA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 27, 2017 April 21, 2018

See this for April 2018 update. June 2017 -Lafayette, LA According to publicly available records Keith A. Fontenot (CRD#2296303) , a stockbroker who currently is employed by Wells Fargo Advisors, disclose 2 customer…

Rex Securities Law
June 22, 2017
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Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL

Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 22, 2017 February 28, 2019

February 2019-Stuart, Florida According to public records, Christopher D. SInkula (CRD#2001512)) a stockbroker who is currently employed by Janney Montgomery Scott, discloses 2 pending customer disputes and 9 prior customer disputes that have…

Rex Securities Law
June 9, 2017
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Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL

Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 9, 2017 June 9, 2017

June 2017-Somonauk, IL According to publicly available records Michael A. Jump (CRD#1146669) , a stockbroker currently registered with Chelsea Financial Services discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

Rex Securities Law
June 8, 2017
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Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ

Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 8, 2017 June 8, 2017

June 2017 – New York, City The FINRA records of Christopher C. Jansen , a stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute, 3 prior customer disputes and…

Rex Securities Law
May 1, 2017
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Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT

Robert Hudson-Former VSR Financial Services Broker-Discloses Customer Dispute Over Annuity Purchase-Essex Junction, VT https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 1, 2017 May 1, 2017

April 2017-Essex Junction, VT The FINRA records of Robert J. Hudson, Jr. , a stockbroker who is currently employed by Summit Brokerage Services disclose 2 prior regulatory events, a pending customer dispute, a prior…

Rex Securities Law
April 30, 2017
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Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX

Tom (Gil) Parks, Jr.-Former Ameriprise Broker-Discloses Numerous Customer Disputes Over Oil & Gas & Annuity Investments-Stephenville, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 30, 2017 July 18, 2018

See this for JULY 2018 UPDATE JULY 2017-Stephenville, TX According to publicly available records Tom Gilliam Parks, Jr. , (CRD#1558909) , a stockbroker who is not currently registered and who last was employed…