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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX
Masood (Mike) Azad-Former First Allied Broker-Sanctioned by Securities Regulator-League City, TX 150 150 Rex Securities Law

April 2018 -League City, TX According to FINRA records, Masood (Mike) Husain Azad,  a   former stockbroker who was last employed by First Allied Securities, disclose  a prior regulatory event and a…

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Losses on an Investment in Tezos? Options for Recovery
Losses on an Investment in Tezos? Options for Recovery 150 150 Rex Securities Law

April 2018-New York Arthur R. Meunier (a/k/a Robert Breitman, a/k/a Robert Meunier-Breitman) entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) agreeing…

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Losses on Triloma Funds ? Options for Recovery.
Losses on Triloma Funds ? Options for Recovery. 150 150 Rex Securities Law

April 2018 Investors who have suffered losses on investments in the Triloma EIG Energy Income Fund or the Triloma Energy Income Fund  EIG Term 1, may be  able to recover…

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John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN
John S. Jumper-Former Alluvion Securities Broker-Indicted for Embezzlement-Memphis, TN 150 150 Rex Securities Law

April 2018-Memphis, TN John Sherman Jumper, 52, of Memphis, Tennessee was indicted by a federal grand jury for embezzling $5.7 million from a pension plan for the employees of Snowshoe…

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John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL
John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL 150 150 Rex Securities Law

April 2018 -Boca Raton, FL According to FINRA records, John Eugene Egan ,  a   stockbroker who is currently employed by Newbridge Securities Corp., disclose  a prior regulatory event, a pending customer dispute…

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Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia
Stacy Cheney-Jamison-Former CUNA Brokerage Services Broker-Subject of $350K Unauthorized Trading Claim-Boca Raton, FL / Georgia 150 150 Rex Securities Law

April 2018 -Boca Raton, FL-Atlanta, GA According to FINRA records, Stacy Cheney-Jamison ,  a currently unregistered  stockbroker who formerly was employed by CUNA Brokerage Services, disclose  a pending customer dispute. The Financial…

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Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama
Arshad Hussain-Former NEXT Financial Broker-Discharged by NEXT Financial for Improper Trading-Jasper, Alabama 150 150 Rex Securities Law

April 2018 -Jasper, Alabama According to FINRA records, Arshad Hussain ,  a currently unregistered  stockbroker who formerly was employed by NEXT Financial Group, disclose 3 prior customer disputes, two terminations from employment and…

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David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK
David Lancaster-Former Edward Jones Broker-Subject of Investigation for Unauthorized Trading-Wagoner, OK 150 150 Rex Securities Law

July 2019 -Wagoner, OK According to FINRA records, William David Lancaster ,  a  stockbroker who formerly was employed by Edward Jones, disclose a prior regulatory investigation, a prior customer dispute, a  and…

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Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX
Jim Clark-Worth Finanical Group Broker-Discloses Settlement of Customer Suit For Mishandling Account-Dallas, TX 150 150 Rex Securities Law

April 2018 -Dallas, Texas According to publicly available records James  (Jim) Williard Clark ,  a  stockbroker who currently is employed by Worth Financial Group, disclose 4 prior regulatory issues, and  2 arbitration awards…

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