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Rex Securities Law-BLOG

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

Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ
Sean McElduff-Hennion&Walsh Broker-Discloses Customer Arbitration Over Puerto Rico Bonds-Parsippany, NJ 150 150 Rex Securities Law

April 2017- Parsippany, New Jersey The FINRA records of  Sean J. McElduff ,  a  stockbroker who is  employed by  Hennion & Walsh  disclose a prior final customer dispute and a currently pending customer dispute. The…

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Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX
Kenneth B. Neuner-Former VSR Financial Services Broker-Discharged by Summit Brokerage Services-Dallas, TX 150 150 Rex Securities Law

FEBRUARY 2018 UPDATE-Kenneth Neuner barred from securities industry. See this for more details.  April 2017-Dallas, Texas The FINRA records of  Kenneth B. Neuner ,  a  stockbroker who was formerly  employed by  VSR Financial Services…

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Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ
Robert S. Graham-Former Capital Investment Group Broker-Subject of Customer Arbitration-Scottsdale, AZ 150 150 Rex Securities Law

March 2019-Scottsdale, AZ The FINRA records of  Robert S. Graham ,  a  stockbroker who is currently unregistered and who last was employed by  First Allied Securities, disclose a  regulatory event and a…

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Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX
Steven P. Sappington-G.A. Repple Broker-Discloses Financial Events and Customer Dispute-Waco, TX 150 150 Rex Securities Law

April 2017-Waco, Texas The FINRA records of  Steven P. Sappington ,  a  stockbroker who is currently registered with G.A. Repple disclose a  prior customer dispute, 3 pending financial events and 2 prior financial events.…

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Michael J. Blake-Former Ameritas Investment Broker-Discloses Numerous Customer Complaints Involving Promissory Notes-Paradise Valley, AZ
Michael J. Blake-Former Ameritas Investment Broker-Discloses Numerous Customer Complaints Involving Promissory Notes-Paradise Valley, AZ 150 150 Rex Securities Law

April 2017-Paradise Valley, AZ The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose a prior regulatory…

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Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX
Michelle D. Drake-Former Rhodes Securities Broker-Discloses Discharge From Employment-Colleyville, TX 150 150 Rex Securities Law

April 2017-Colleyville, Texas The FINRA records of  Michelle Diane Drake ,  a  stockbroker who is currently  registered with   Prospera Financial Services  disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the…

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Christopher P. Anthony-Former Rhodes Securities Broker-Discloses $2 Million Customer Dispute-Ft. Worth, Texas
Christopher P. Anthony-Former Rhodes Securities Broker-Discloses $2 Million Customer Dispute-Ft. Worth, Texas 150 150 Rex Securities Law

April 2017-Arlington, Texas The FINRA records of  Christopher P. Anthony,  a  stockbroker who is not currently  registered and who was last employed by  Rhodes Securities, Inc.  disclose 2 currently pending customer disputes  and a discharge…

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Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA
Thomas W. Bodensteiner-Former VSR Financial Services Stockbroker-Discloses Customer Dispute Over UDF-Clear Lake, IA 150 150 Rex Securities Law

April 2017-Clear Lake, IA The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute over an investment in United Development…

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Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS
Daniel C. Stewart-Former VSR Financial Services Broker-Discloses Customer Dispute-Shawnee, KS 150 150 Rex Securities Law

April 2017-Shawnee, KS The FINRA records of  Daniel C. Stewart ,  a  stockbroker who was formerly  employed by  VSR Financial Services  disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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