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Rex Securities Law-BLOG

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

Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico
Danielle McAniff-Former Edward Jones Broker-Discloses Regulatory Sanction-Albuquerque, N. Mexico 150 150 Rex Securities Law

February 2018-Albuquerque, New Mexico The FINRA records of Danielle Jean McAniff, a broker currently employed by NEXT Financial Group, disclose that she was recently suspended for two months and fined…

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Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA
Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA 150 150 Rex Securities Law

February 2018 – Clear Lake, Iowa The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was previously  employed by  VSR Financial Services  discloses a pending customer dispute . The Financial Industry…

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Jesse Griffin – Former VSR Financial Services Broker- Discloses Numerous Customer Disputes – Palm City, FL
Jesse Griffin – Former VSR Financial Services Broker- Discloses Numerous Customer Disputes – Palm City, FL 150 150 Rex Securities Law

February 2018 – Palm City, FL The FINRA records of  Jesse Julian Griffin, Jr. ,  a  stockbroker who was formerly  employed by  VSR Financial Services  discloses settlement of 5 customer disputes involving alternative…

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Kenneth Devane – Former VSR Financial Services Broker- Discloses Customer Dispute – Tampa, FL
Kenneth Devane – Former VSR Financial Services Broker- Discloses Customer Dispute – Tampa, FL 150 150 Rex Securities Law

February 2018 – Tampa, FL The FINRA records of  Kenneth Manuel Devane  a  currently unregistered stockbroker who was formerly  employed by  VSR Financial Services  discloses settlement of a  customer dispute involving alternative investments. The…

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Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ
Sony Oozeerally-Hennion & Walsh Broker-Discloses Settlement of Suit Over Bond Purchase-Parsippany, NJ 150 150 Rex Securities Law

August 2018- Parsippany, New Jersey The FINRA records of  Mamode A. Oozeerally (“Sony”) ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose two prior customer disputes and a pending customer dispute. The Financial…

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Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ
Stephen Kowalski-Hennion & Walsh Broker-Discloses Customer Suits Over Municipal Debt-Parsippany, NJ 150 150 Rex Securities Law

February 2019- Parsippany, New Jersey The FINRA records of  Stephen G. Kowalski ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and 4 currently pending customer disputes. The…

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Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska
Jay A. Wallinger-Former VSR Financial Services Broker-Discloses Customer Suit Over Equipment Leasing Investment-Stuart, Nebraska 150 150 Rex Securities Law

February 2018-Stuart, NE The FINRA records of  Jay Alan Wallinger ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose the recent settlement of a customer dispute involving an alleged overconcentration…

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Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL
Harry Datys-Westpark Capital Stockbroker-Discloses Regulatory Issues and Customer Complaints- Boca Raton, FL 150 150 Rex Securities Law

March 2019- Warwick, New York/Boca Raton, FL The FINRA records of  Harry Seth Datys,  a  stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…

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