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Private Placements

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Rex Securities Law

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

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John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL

John T. Howard-Raymond James Broker-Discloses $1.13 Million Award & Pending Customer Dispute-Birmingham, AL 150 150 Rex Securities Law

February 2020- Birmingham, AL The FINRA records of John Troy Howard (CRD#2264121)  , a broker with Raymond James & Associates, Inc. discloses a prior arbitration award and a pending customer dispute. The Financial Industry…

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Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York

Kevin R. Wilson-Former Laidlaw & Co. Financial Advisor-Subject of Millions in Claims for Private Placement Losses-New York 150 150 Rex Securities Law

April 2021 – New York According to publicly available records, former Laidlaw & Company financial advisor Kevin R. Wilson discloses 7 pending customer disputes and 4 prior customer disputes, all…

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John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI

John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 150 150 Rex Securities Law

August 2018-Birmingham, Michigan The FINRA records of  John C. Maccoll,  a  stock broker who was last employed by UBS Financial Services ,  disclose that he was recently discharged by UBS after failing to cooperate…

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Mark Trewitt-Former VFG Securities Broker-Subject of Numerous Customer Suits-Plano, TX

Mark Trewitt-Former VFG Securities Broker-Subject of Numerous Customer Suits-Plano, TX 150 150 Rex Securities Law

May 2018-Plano, TX According to publicly available records Mark A. Trewitt , (CRD# 1364490) ,  a   stockbroker who formerly worked for VFG Securities discloses 3 pending and 10 final customer disputes. The Financial…

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Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX

Tom Till-Former ProEquities Broker-Discloses Settlement of Customer Dispute Involving Alternative Investments-Friendswood, TX 150 150 Rex Securities Law

May 2018- Friendswood, TX According to FINRA records,  Thomas  “Tom” A. Till ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses the…

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Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN

Bradley Freimark-Former ProEquities Broker-Subject of 25 Customer Disputes-Ostego, MN 150 150 Rex Securities Law

May 2018- Otsego, MN According to FINRA records,  Bradley J. Freimark ,  a stock broker who  is not currently registered and who last was employed in the industry by ProEquities Inc. , discloses 19 prior customer…

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Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments?

Want to Sell Your Alternative Investments? Want to Recover Losses on REIT Investments? 150 150 Rex Securities Law

April 2018 Investors owning non publicly traded alternative investments, such as real estate investment trusts (REITs) and oil and gas partnerships may not have been aware of the meaning of illiquid…

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How to Recover Losses on Reef Oil and Gas Fund Investments

How to Recover Losses on Reef Oil and Gas Fund Investments 150 150 Rex Securities Law

April 2018-Richardson, TX Reef Securities Inc. and its owner and president Frank Mauceli were sanctioned by FINRA on April 11, 2018, for failing to timely notify investors in an Oil…

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