fbpx

Rex Securities Law-BLOG

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

Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas
Walt Parker-Former Titan Securities Broker-Subject of Numerous UDF Suits & Regulatory Suspension – Rowlett , Texas 150 150 Rex Securities Law

January 2020-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  currently unregistered  broker who was last employed by  Titan Securities  disclose a recent regulatory matter,  2 pending customer disputes  and 11 prior…

read more

Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA
Kimberly Kitts-Former Royal Alliance Broker-Subject of Customer Dispute Alleging Misappropriation of Funds-Palmer, MA 150 150 Rex Securities Law

February 2018-Palmer, Massachusetts Kimberly Pine Kitts  was recently discharged from Royal Alliance Associates where she had been employed since 4/2004 after receiving notice from a customer’s attorney alleging conversion or misappropriation…

read more

Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY
Christopher L. Hibbard-Former Merrill Lynch Broker-Accused of Theft by 8 Customers-Louisville, KY 150 150 Rex Securities Law

August 2018-Louisville, KY Christopher Lee Hibbard  was recently discharged from Merrill Lynch where he had been employed since 7/2010.  In April 2018 the US Attorney’s office for the Western District…

read more

Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, TX
Mark Reinking-Former Leader’s Group Broker-Subject of $1M Customer Suit-Austin, TX 150 150 Rex Securities Law

February 2018-Austin, Texas The FINRA records of  Mark B. Reinking ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by The Leaders Group Inc. disclose a pending…

read more

William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West Palm Beach, FL
William Bruckner-Former Woodstock Financial Broker-Has Regulatory Disclosures-West Palm Beach, FL 150 150 Rex Securities Law

February 2018-West Palm Beach, FL The FINRA records of  William Bruckner ,  a  stockbroker who is not currently registered with any broker dealer and who was last employed by Woodstock Financial Group disclose a regulatory…

read more

Felipe Arrieta-Former Revere Securities Broker-Discloses Customer Disputes-Boca Raton, FL
Felipe Arrieta-Former Revere Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Rex Securities Law

February 2018- Boca Raton, FL Felipe Arrieta, a stockbroker who is currently employed by Dakota Securities International and was formerly employed by Revere Securities,  discloses 3 prior final and 1 pending customer disputes…

read more

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL
Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL 150 150 Rex Securities Law

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and  seven…

read more

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,FL
Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,FL 150 150 Rex Securities Law

February 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…

read more

Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK
Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK 150 150 Rex Securities Law

February 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan  , (CRD# 1776666) ,  a  former stockbroker who last worked for WFG Investments  discloses that he was recently permanently barred from the securities…

read more
Enter your
text here

This site is protected by wp-copyrightpro.com