REITs Archives - Page 3 of 16 - Rex Securities Law-BLOG

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May 4, 2022
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Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY

Jordan S. Berlin- Former Wilmington Capital Broker- Suit Settled Over REIT Investments-Garden City, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 4, 2022 May 4, 2022

Jordan S. Berlin Investigation May 2022-Garden City, NY According to publicly available records, Jordan S. Berlin, a former Wilmington Capital Securities broker discloses a prior customer dispute. The Financial Industry Regulatory…

ER
April 22, 2022
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Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO

Glennon Cole- Former Moloney Securities Broker- Discloses Customer Disputes and a Termination from Employment-Manchester, MO https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 22, 2022

Glennon Cole Investigaton April 2022- Manchester, MO According to publicly available records, Glennon J. Cole, a currently unregistered financial advisor who previously was employed by Moloney Securities, Co., Inc. discloses prior…

ER
April 22, 2022
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David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA

David Bibo – Western International Securities Broker- Discloses Customer Disputes Involving REITs – Pasadena, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 22, 2022 April 22, 2022

David Bibo Investigation April 2022- Pasadena, CA According to publicly available records David O. Bibo, a broker with Western International Securities broker discloses 2 prior and 2 pending customer disputes and…

ER
April 5, 2022
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Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA

Clara Tang -Former Cetera Financial Advisor-Subject of Customer Complaints-Cupertino, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 5, 2022 April 5, 2022

Clara Tang Investigation April 2022-Cupertino, CA The FINRA records of Clara Tang , a former stock broker with Cetera Investment Services, disclose a prior customer dispute and 2 pending customer…

ER
April 1, 2022
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Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO

Dustin Ward- Woodbury Financial Broker- Discloses Pending Customer Disputes -St. Louis, MO https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 1, 2022 April 1, 2022

Dustin K. Ward Investigation April 2022- St. Louis, MO According to publicly available records, Dustin K. Ward, a Woodbury Financial Services broker, discloses 2 pending customer disputes. The Financial Industry…

ER
March 29, 2022
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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX

William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 29, 2022 October 6, 2022

William Frank Richardson Investigation September 2022-Houston, TX The FINRA records of William “Frank” Richardson, Jr. , a stock broker with Avantax Investment Services, disclose 6 prior customer disputes. The Financial…

ER
November 15, 2021
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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN

Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 15, 2021 November 15, 2021

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services, discloses a settled customer dispute and a pending customer…

Rex Securities Law
November 12, 2021
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Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA

Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 12, 2021 November 12, 2021

Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…

Rex Securities Law
November 9, 2021
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Bill Burks-Centaurus Broker-Discloses Customer Disputes-Flower Mound, TX

Bill Burks-Centaurus Broker-Discloses Customer Disputes-Flower Mound, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 9, 2021 November 9, 2021

Bill Burks Investigation November 2021, Flower Mound, TX According to publicly available records William “Bill” Burks II , (CRD# 2944992) , a stockbroker who is registered with Centaurus Financial, discloses 3 pending customer…