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Rex Securities Law-BLOG

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

Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY
Northeast Securities Ordered to Pay Former Customer $1.8 Million-Mitchelfield, NY 150 150 Rex Securities Law

July 2017-New York An arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered Northeast Securities, Inc. a broker dealer headquartered in  Mitchelfield , NY, and three of their brokers…

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Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX
Investigation-Frank T. Dunn, Jr.-Concorde Investment Services-The Woodlands, TX 150 150 Rex Securities Law

The Woodlands, Texas We are investigating the sales practices of Frank Timothy Dunn, Jr. a broker who has been employed by Concorde Investment Services since 10/2014. In publicly available records…

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David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York
David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Rex Securities Law

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

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Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL
Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL 150 150 Rex Securities Law

September  2017 – Daphne, AL According to publicly available records Damian M. Bell  (CRD#2348521) ,  a  stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose 2 pending and 5…

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Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas
Wesley M. Woodyard Sentenced to 87 Months For Fraud-Dallas, Texas 150 150 Rex Securities Law

July 2017- Dallas, Texas According to the Department of Justice , Wesley Michael Woodyard, 66, was sentenced to 87 months in federal prison for his role in a scheme to defraud…

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SEC Files Action Over Verto Notes-Dallas & Plano, Texas
SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Rex Securities Law

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO.
James K. Pheney-WFG Investments, Inc. Broker-Discloses Pending Customer Dispute-Castle Rock, CO. 150 150 Rex Securities Law

July  2017- Castle Rock, CO According to publicly available records James K. Pheney  (CRD#1272932) ,  a  stockbroker who currently is employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose a pending customer dispute.…

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Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL
Edward A. Horwitz-Western International Securities Broker-Discloses Customer Dispute-Deerfield, IL 150 150 Rex Securities Law

July 2017- Deerfield, IL According to publicly available records Edward Alan Horwitz (CRD#2154232) ,  a  stockbroker currently registered with Western International Securities, Inc., discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Boiler Room Stock Fraudsters Convicted by Miami Federal Jury
Boiler Room Stock Fraudsters Convicted by Miami Federal Jury 150 150 Rex Securities Law

June 2017-Miami, Florida A federal grand jury in Miami convicted five individuals for their roles in a boiler room securities fraud scheme that defrauded over 700 victims out of $23…

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