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Rex Securities Law-BLOG

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

Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit
Christopher A. Knutson-Aegis Capital Broker-Discloses Settlement of Customer Suit 150 150 Rex Securities Law

April 2017- Melville, NY According to publicly available records Christopher A. Knutson , (CRD# 2997006) ,  a  stockbroker who is currently registered with Aegis Capital Corp.  discloses settlement of a customer dispute. The Financial Industry Regulatory…

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Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY
Jeffrey L. Offen-Craft Capital Management Broker-Discloses Customer Disputes & Judgements-Garden City, NY 150 150 Rex Securities Law

February 2019- Garden City, NY According to publicly available records Jeffrey L. Offen  , (CRD# 2893980) ,  a  stockbroker who is not currently employed as a stockbroker and who was last employed by  Craft Capital…

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James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ
James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ 150 150 Rex Securities Law

April 2017- Hoboken, New Jersey According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event. The Financial Industry Regulatory…

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Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL
Gary Edward Morse-Former Celadon Financial Group Broker-Discloses Tax Liens-Boca Raton, FL 150 150 Rex Securities Law

MARCH 2018 UPDATE–Gary E. Morse left Celadon Financial Group 8/2017 and is currently registered with Precision Securities. His FINRA records disclose  currently  outstanding liens owed to the Internal Revenue Service…

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Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX
Kris Etter-IMS Securities Broker-Discloses Customer Arbitration Over REIT Investment-Houston, TX 150 150 Rex Securities Law

April 2017- Grapevine, TX According to publicly available records Kristopher F. Etter  , (CRD# 4562123) ,  a  stockbroker who is currently registered with IMS Securities  discloses a pending   customer dispute.  The Financial Industry Regulatory Authority…

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Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX
Nghi Thanh Ho -IMS Securities Broker-Discloses Customer Dispute- Houston, TX 150 150 Rex Securities Law

April 2017 – Houston, TX According to publicly available records Nghi Thanh Ho,  (CRD#2327672) ,  a  stockbroker who is currently registered with IMS Securities  discloses one pending customer dispute and a separation from employment.  The Financial Industry…

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RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ
RIchard G. Cody-Former Concorde Investment Services & IFS Securities Broker-Sentenced for Fraud-Spring Lake, NJ 150 150 Rex Securities Law

October 2020– Spring Lake, New Jersey According to publicly available records Richard G. Cody , (CRD# 2794558) ,  a  currently unregistered stockbroker who last worked for IFS Securities  , has numerous disclosures:  1 pending…

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Austin Attorney and Partner Plead Guilty to Investment Fraud
Austin Attorney and Partner Plead Guilty to Investment Fraud 150 150 Rex Securities Law

April 2017-Austin, Texas The US Attorney’s Office for the Western District of Texas announced that Austin residents Robert Allen Helms and Janniece S. Kaelin pleaded guilty to federal charges of…

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James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA
James B. Lunsford-Former Mid Atlantic Capital Broker-Discloses Customer Disputes Involving Private Placements-Sonoma, CA 150 150 Rex Securities Law

April 2017- Sonoma, CA According to publicly available records James B. Lunsford , (CRD# 2222307) ,  a  former stockbroker who last worked for Mid Atlantic Capital Corp.  discloses three pending customer disputes, one prior customer dispute…

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