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Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX

Randall Fields- Former Financial Advisor with Facilitar Capital Group- License Revoked by TSSB- Leander, TX 150 150 Rex Securities Law

July 2021- Leander, TX According to publicly available records,  Randall H. Fields, a registered investment  advisor last employed by  Facilitar Capital Group, Sensus Wealth Management Group and Acruence Capital , discloses…

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Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages

Losses on UBS Yield Enhancement Strategy? (UBS YES)- How to Recover Damages 150 150 Rex Securities Law

February 2020 Investors who have suffered losses as a result of investing in the UBS Yield Enhancement Strategy program (UBS YES Trading Program) may be able to recover damages through…

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Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL

Matthew Singer- Former Morgan Stanley Broker-Customer Suits Over Option Investments- Aventura, FL 150 150 Rex Securities Law

January 2020 – Aventura, FL The FINRA records of  Matthew Singer,  a  broker previously employed by Morgan Stanley Smith Barney disclose 3 prior customer disputes and a regulatory event. The Financial Industry Regulatory…

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Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID

Peter Klaass and Heath Bowen-Former Allegis Investment Advisors-Sued Over Option Trading-Idaho Falls, ID 150 150 Rex Securities Law

April 2019-Idaho Falls, ID  The FINRA records of two former Allegis Investment Advisors stockbrokers , Peter Gerhard Klaass and Heath Shayne Bowen   disclose that the Colorado Division of Securities alleged…

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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Rex Securities Law

October  2020- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed by Berthel Fisher…

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Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah

Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 150 150 Rex Securities Law

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

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Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas

Steven Yellen-Former Ameriprise Broker-Suspended by Securities Regulator-El Paso, Texas 150 150 Rex Securities Law

November 2019 – El Paso, Texas According to publicly available records Steven T. Yellen , (CRD# 1281663) ,  a  stockbroker who is currently suspended and who was last employed by Ameriprise Financial…

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Losses On LJM Preservation and Growth Fund May Be Recoverable

Losses On LJM Preservation and Growth Fund May Be Recoverable 150 150 Rex Securities Law

April 2018 We are currently reviewing potential claims for investors who suffered losses in  LJM Preservation and Growth Fund (LJMIX & LJMCX) securities. Once close to a billion dollars, the…

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Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies

Wells Fargo Securities Fined $3.25M For Supervisory Deficiencies 150 150 Rex Securities Law

JUNE 2017 Wells Fargo Securities   entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to report,…

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