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Variable Universal LIfe (VUL)

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX

Marcos Yanez-Former LPL Financial Broker-Named in Customer Dispute Over Insurance and Loan-Dallas, TX 150 150 Rex Securities Law

April 2017-Dallas, Texas The FINRA records of  Marcos Yanez ,  a   former stockbroker with LPL Financial who is currently not registered with any brokerage firm disclose a pending customer dispute. The…

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Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA

Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA 150 150 Rex Securities Law

August 2016- Forty Fort, PA The FINRA records of  Christian J. Stoltz,  a  stock broker who is currently employed by Centaurus Financial  disclose  a currently pending customer dispute and a prior customer dispute. The Financial…

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Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama

Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama 150 150 Rex Securities Law

 Birmingham, Alabama UPDATE MAY 2017 FINRA records disclose that Terry Joe Bagwell has 3 currently pending and 11 prior final customer disputes.  Bagwell is not currently registered as a stockbroker. He…

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Royal Alliance Ordered to Pay $870K Over Variable Universal Life (VUL) Policy

Royal Alliance Ordered to Pay $870K Over Variable Universal Life (VUL) Policy 150 150 Rex Securities Law

January  9, 2015- Los Angeles, California A FINRA arbitration panel in Los Angeles, CA , ordered Royal Alliance Associates  to pay a customer $870,000 in compensatory damages and over $14,000 in costs.  The…

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Royal Alliance Associates Hit with Big Arbitration Award Over Annuity Investment

Royal Alliance Associates Hit with Big Arbitration Award Over Annuity Investment 150 150 Rex Securities Law

January 9,2015- Los Angeles, CA An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Royal Alliance Associates to pay an estate $870,000 following a five day arbitration in…

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NY Life Broker David Herlicka Suspended/Fined by FINRA-Unsuitable Life Insurance Sales

NY Life Broker David Herlicka Suspended/Fined by FINRA-Unsuitable Life Insurance Sales 150 150 Rex Securities Law

UPDATE April 2017–The FINRA records of David A. Herlicka disclose a final regulator event, 23 prior Final Customer Disputes and a termination from employment. Of the 23 customer disputes, 19…

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