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Rex Securities Law-BLOG

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

Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC

Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC 150 150 ER

Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…

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John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL

John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL 150 150 ER

John Moy Investigation March 2023-Boca Raton, FL  The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes,  a pending customer dispute and two terminations from employment.…

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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL 150 150 ER

John Zaffarano Investigation March 2023- Boca Raton, FL  According to publicly available records,  John Zaffarano  an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…

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Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX 150 150 ER

Annetta Marie Box Investigation February  2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research,  discloses a final regulatory matter resulting…

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Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 ER

Raymond Jennison, Jr.  Investigation February 2023-Dallas, TX  According to publicly available records, Raymond Jennison, Jr.  a former broker who last worked for First Canterbury Securities, Inc.,  discloses a final regulatory matter…

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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX 150 150 ER

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities,  discloses a final regulatory matter resulting…

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Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX 150 150 ER

Crystal Turk Investigation February  2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…

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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX 150 150 ER

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch,  discloses a final regulatory matter resulting in a permanent…

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Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX

Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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