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Puerto Rico Bonds

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico

Jose Casellas-Merrill Lynch Broker- Subject of $3 Million Customer Dispute- Guaynabo, Puerto Rico 150 150 Rex Securities Law

January 2020- Guaynabo, Puerto Rico/Miami, FL According to publicly available records Jose Alberto Casellas (CRD# 2638747) ,  a  stockbroker who is employed by Merrill Lynch, Pierce, Fenner & Smith  disclose a pending customer dispute…

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Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ

Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ 150 150 Rex Securities Law

August 2018- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose two prior customer disputes and a pending customer dispute. The Financial…

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Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ

Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ 150 150 Rex Securities Law

February 2019- Parsippany, New Jersey The FINRA records of  Stephen G. Kowalski ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and 4 currently pending customer disputes. The…

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Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ

Investigation of Hennion & Walsh Broker Joe I. Rodriguez-Parsippany, NJ 150 150 Rex Securities Law

UPDATE AUGUST 2018– Parsippany, New Jersey FINRA Records for Joseph I. Rodriguez disclose the following: August 2017, FINRA case 16-1032 (see below) was settled for $60,000, with broker Joseph I.…

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Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses

Stifel Nicolaus Ordered to Pay Elderly Couple For Puerto Rico Bond Losses 150 150 Rex Securities Law

Over the past few years St. Louis based Stifel Nicolaus & Co. has faced a number of problem with regulators as well as actions filed by disgruntled customers, including: In…

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Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ

Sony Oozeerally-Hennion & Walsh Broker-Discloses Customer Arbitration Over Bond Losses-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ

Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Sean J. McElduff ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies

Merrill Lynch Fined $7M Over Leveraged Management Account Inadequacies 150 150 Rex Securities Law

November 2016- New York Merrill Lynch was fined $7 million by the Financial Industry Regulatory Authority (FINRA) for inadequately supervising the use of leverage (margin) in customer accounts. Merrill Loan…

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