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Rex Securities Law-BLOG

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

Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX
Jackie D. Wadsworth-IMS Securities Broker-Discloses Customer Disputes Over REIT Investments-Houston, TX 150 150 Rex Securities Law

April 2017-Houston, Texas According to publicly available records Jackie D. Wadsworth , (CRD# 2342163) ,  a  stockbroker who is currently registered with IMS Securities  discloses three pending and four prior final customer disputes.  The Financial Industry Regulatory Authority…

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Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX
Joshua W. Patterson-IMS Securities Broker-Discloses Customer Dispute Over REIT Investment-Houston, TX 150 150 Rex Securities Law

April 2017-Houston, Texas According to publicly available records Joshua W. Patterson , (CRD# 3077302) ,  a  stockbroker who is currently registered with IMS Securities  discloses two pending and one prior final customer disputes.  The Financial Industry…

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James Roy Kennedy-Former VSR Financial Services Broker-Investigation Update-Eastland, TX
James Roy Kennedy-Former VSR Financial Services Broker-Investigation Update-Eastland, TX 150 150 Rex Securities Law

April 2017-Eastland, Texas We are continuing our investigation of former VSR Financial Services broker James Roy Kennedy in connection with the sale of unsuitable investments, including alternative investments in real estate investment trusts (REITs), limited…

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Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas
Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 150 150 Rex Securities Law

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) ,  a  FINRA registered broker dealer headquartered in Austin, Texas,  discloses  10 prior final regulatory events and…

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Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME
Robert K Lindell-Former Revere Securities Broker-Sentenced to 10 Years for Defrauding Elderly Women & Tax Evasion-Bangor, ME 150 150 Rex Securities Law

April 2019-Bangor, Maine According to publicly available records Robert Kenneth Lindell,  ,  a  previously registered stockbroker and former Maine lawmaker, who was last employed by Richfield Orion International, disclose 5…

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Revere Securities Sanctioned by Securities Regulators
Revere Securities Sanctioned by Securities Regulators 150 150 Rex Securities Law

March 2017-New York According to publicly available records Revere Securities LLC , (CRD# 14178) ,  a  FINRA registered broker dealer headquartered in New York City, discloses a pending regulatory matter , 9 prior final…

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Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK
Austin W. Morton-Former Edward Jones Broker-Named in Theft Complaint-Sallisaw, OK 150 150 Rex Securities Law

March 2017-Sallisaw, OK According to publicly available records Austin W. Morton , (CRD# 5538108) ,  a  currently unregistered stockbroker who previously worked for Edward Jones  disclose a pending regulatory matter, a pending customer dispute and…

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Steven Zoernack Pleads Guilty to Wire Fraud Conspiracy-Tampa, FL
Steven Zoernack Pleads Guilty to Wire Fraud Conspiracy-Tampa, FL 150 150 Rex Securities Law

March 31, 2017-Tampa, Florida The U.S. Attorney”s Office for the Middle District of Florida announced that Steven Zoernack, 55, of Sarasota, Florida, pleaded guilty to conspiring to commit wire fraud…

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David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA
David A. Basinger-Former VSR Financial Services Broker-Investigation Over Alternative Investments-Alexandria, VA 150 150 Rex Securities Law

Alexandria, Virginia Rex Securities Law is investigating  broker David Alan Basinger  on behalf of a elderly, retired widow from Alexandria who was advised to purchase  limited partnerships, direct investments in oil & gas,…

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