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Variable Annuities

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA

Raymond Benjamin-Former LPL Financial Broker -Settles Customer Suit-Augusta, GA 150 150 Rex Securities Law

August 2021 – Augusta, GA According to publicly available records , Raymond S. Benjamin,  a  stockbroker who was previously with LPL Financial and who is now registered with Kingswood Capital Partners and Firethorn Wealth…

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Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX

Timothy Walsh-Former Fortune Financial Services Broker-Discloses Settlement of Customer Suit-Fort Worth, TX 150 150 Rex Securities Law

September 2019 -Ft. Worth, Texas The FINRA records of  Timothy D. Walsh ,  a   broker who is not currently registered with any broker dealer and who was last employed by Fortune Financial…

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Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales

Park Avenue Securities Fined $300K by Securities Regulator Over Annuity Sales 150 150 Rex Securities Law

April 2018 The FINRA records of Park Avenue Securities ,  a registered brokerage firm headquartered in New York , disclose 12 prior regulatory events and one pending regulatory matter. The Financial Industry Regulatory…

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Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX

Dion R. Padilla Annuity Investigation-Former NEXT Financial Group Broker-San Antonio, TX 150 150 Rex Securities Law

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-JUNE 2018 -San Antonio, Texas We continue our investigation of former NEXT Financial Group broker…

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Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL

Chris Sinkula Investigation-Janney Montgomery Broker Discloses $2.3M Customer Suit-Stuart, FL 150 150 Rex Securities Law

February 2019-Stuart, Florida According to public records, Christopher D. SInkula  (CRD#2001512))  a  stockbroker who is currently employed by Janney Montgomery Scott,  discloses 2 pending customer disputes and 9 prior customer disputes that have…

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Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase

Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase 150 150 Rex Securities Law

April 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay  a former customer compensatory damages of $536,720 together with a like amount…

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Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS

Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Rex Securities Law

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX

Christopher D. Gammon-IMS Securities Broker-Discloses Customer Arbitrations Over REIT Investments-Houston, TX 150 150 Rex Securities Law

April 2017-Houston, Texas According to publicly available records Christopher D. Gammon , (CRD# 2344523) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and two prior final customer disputes.  The Financial Industry Regulatory Authority…

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