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ETFs Exchange Traded Funds

Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Rex Securities Law

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration
Investors Capital Corp. Discloses 22 Regulatory Issues-Withdraws FINRA Registration 150 150 Rex Securities Law

UPDATE APRIL 2018-In December 2017, Investors Capital Corp. was hit with another FINRA regulatory sanction involving mutual funds. The firm was censured and agreed to pay $437,674 in restitution to…

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Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks
Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks 150 150 Rex Securities Law

Minneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was  registered  with Feltl & Company from  3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…

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Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY
Timothy Longo-Former Trident Partners Broker-Subject of Customer Suits-Hauppauge, NY 150 150 Rex Securities Law

May 2018-Hauppauge, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

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Justin Amaral Investigation Update-Customer Wins $1M in Arbitration
Justin Amaral Investigation Update-Customer Wins $1M in Arbitration 150 150 Rex Securities Law

Boston, MA In December 2015, a FINRA arbitration panel awarded a former customer of Morgan Stanley Smith Barney Broker Justin Amaral over $1 million, which included over $500,000 in punitive…

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Recovery Options for Investors Purchasing Private Placements From World Equity Group
Recovery Options for Investors Purchasing Private Placements From World Equity Group 150 150 Rex Securities Law

If you have losses on private placement investments or exchange traded funds (ETFs) purchased from World Equity Group, we may be able to help you recover damages. World Equity Group…

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Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales
Summit Brokerage Services (Boca Raton) Fined $250,000 by Regulators- ETF Sales 150 150 Rex Securities Law

December 2, 2015- Boca Raton, FL Summit Brokerage Services  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between June…

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Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher
Recovery Options for Investors Who Purchased Oil & Gas Investments from Berthel Fisher 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently fined Berthel Fisher and their affiliate Securities Management & Research $775,000 for supervisory failures related to the sale of various alternative investments, including…

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GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs
GMS Group Sanctioned by Regulators For Failure to Supervise Sale of ETFs 150 150 Rex Securities Law

October 21, 2015 GMS Group, LLC and Carmine Capone, a general securities sales supervisor employed by GMS Group , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial…

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