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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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Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE
Roger Zajicek- Investors Capital Corp. Broker- Discloses Settlement of Customer Dispute – Lincoln, NE 150 150 Rex Securities Law

April 2017- Lincoln, NE The FINRA records of  Roger Zajicek  (CRD#862710) a stockbroker with Investors Capital Corp.,  discloses one pending and four prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX
Christopher Anthony-Former Rhodes Securities Broker-Discloses Customer Dispute and Discharge from Employment-Arlington, TX 150 150 Rex Securities Law

Arlington, Texas MAY 2017 UPDATE-In January 2017 a customer of Rhodes Securities filed FINRA Case #16-03753 alleging damages of $2 million for breach of fiduciary duty, negligence and breach of…

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Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes
Joshua L. Feldman-Aegis Capital Broker-Discloses Customer Disputes 150 150 Rex Securities Law

New York MAY 2018 UPDATE–The FINRA records  of Joshua Feldman disclose settlement of   FINRA arbitration 17-0218, filed by a customer of Aegis Capital Corp who was seeking damages of $110,000 . The customer…

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Marvin T. Petty-United Planners Broker-Discloses Customer Dispute
Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC
Former Church Pastor Wesley Allen Brown Charged with Fraud by CFTC 150 150 Rex Securities Law

March 31,2015 The U.S. Commodity Futures Trading Commission (CFTC) file a civil enforcement action in the District Court for the Middle District of Florida against Maverick International and principals Wesley…

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Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens
Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Rex Securities Law

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

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OneAmerica Securities Investigated for Failing to Supervise Option Trading
OneAmerica Securities Investigated for Failing to Supervise Option Trading 150 150 Rex Securities Law

February 13, 2015 OneAmerica Securities, Inc.  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that they failed to make reasonable inquiries…

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