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Rex Securities Law-BLOG

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

Edward Rizzotto – Foresters Equity Services Broker- Discloses Customer Dispute -Largo, FL
Edward Rizzotto – Foresters Equity Services Broker- Discloses Customer Dispute -Largo, FL 150 150 Rex Securities Law

May 2017- Largo, FL According to publicly available records Edward  G. Rizzotto (CRD#3213517) ,  a  stockbroker who  is registered with Foresters Equity Services, Inc.  discloses a settled customer dispute. The Financial Industry Regulatory Authority…

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Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Rex Securities Law

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL
Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL 150 150 Rex Securities Law

June 2017-Somonauk, IL According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

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Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ
Christopher Jansen – Broker Currently Registered with Newbridge Securities- Discloses Four Customer Disputes and Two Terminations – Princeton, NJ 150 150 Rex Securities Law

June 2017 – New York, City The FINRA records of  Christopher C. Jansen ,  a  stockbroker who is currently registered with Newbridge Securities , disclose a pending customer dispute,  3 prior customer disputes and…

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Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Rex Securities Law

June 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…

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Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL
Anthony J. Verzi-Former Morgan Stanley Broker-Discloses Customer Dispute/Regulatory Sanction Over UIT Sales-Melbourne, FL 150 150 Rex Securities Law

The FINRA records of Anthony J. Verzi ,  a  stockbroker who formerly was employed by Morgan Stanley disclose a final regulatory event and a pending customer dispute, both of which relate to the…

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McNally Financial Services Discloses Regulatory Sanction Over Sale of Steepener Investments-San Antonio, TX
McNally Financial Services Discloses Regulatory Sanction Over Sale of Steepener Investments-San Antonio, TX 150 150 Rex Securities Law

San Antonio, Texas According to publicly available records San Antonio-based brokerage firm McNally Financial Services  (CRD#121196) , discloses two prior regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals
Brian K. Hardwick-Former Red River Securities Broker-Discloses Sanctions Over Oil & Gas Deals 150 150 Rex Securities Law

May 2017 – Carrollton, TX According to publicly available records Brian K. Hardwick  (CRD#4522460) ,  a  former stockbroker who was barred by FINRA from acting as a broker or otherwise associating with firms…

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Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments
Douglas Hardwick-Former Texas Securities Broker-Sanctioned for Sale of Oil & Gas Investments 150 150 Rex Securities Law

May 2017 – Carrollton, TX According to publicly available records Douglas R. Hardwick  (CRD#4522610) ,  a  stockbroker currently not registered, but who was previously registered with  Texas Securities, Inc.,  discloses a pending regulatory…

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