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Rex Securities Law-BLOG

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

Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA

Gary Benson – Independent Financial Group Broker-Discloses 8 Prior Customer Disputes and 1 Pending Customer Dispute – Encino, CA 150 150 ER

Gary Benson Investigation June 2023-Encino, CA According to publicly available record Gary Benson, an Independent Financial Group broker discloses eight prior customer disputes and one pending customer dispute.  The Financial Industry Regulatory…

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Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL

Andrew Keefer- IFP Securities Broker- Has $500K Pending Customer Dispute Involving GWG Bonds-Orlando, FL 150 150 ER

Andrew Keefer Investigation June 2023 – Orlando, FL According to publicly available records  Andrew J. Keefer ,  a broker with Independent Financial Partners/IFP Securities,  discloses a $500,000 pending customer dispute  The Financial…

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Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA

Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

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John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY

Brian Wurdermann- Former RBC Capital Markets Advisor- Barred From Industry by Securities Regulators -Discloses $794,000 in Settlements -New York, NY 150 150 ER

Brian Wurdermann Investigation June  2023-New York, NY According to publicly available records Brian Wurdermann a former broker who last worked for RBC Capital Markets,  discloses a regulatory matter resulting in a…

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Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ

Ronald Diaz-Former Morgan Stanley Broker-Barred From Securities Industry by Regulator -Tuscon, AZ 150 150 ER

Ronald Diaz Investigation June 2023-Tuscon, AZ The FINRA records of Ronald Diaz ,  a former stock broker who was last employed in the industry by Morgan Stanley, disclose a regulatory matter resulting in…

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Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL

Roman Meyerhans- Raymond James Advisor -Discloses Regulatory Event and Customer Dispute- Miami, FL 150 150 ER

Roman Meyerhans Investigation June 2023- Miami, FL The FINRA records of Roman Meyerhans,  a broker employed by Raymond James & Associates, Inc. disclose a regulatory matter and a customer dispute. The…

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Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY

Derek Rehill-VCS Venture Securities Broker-Discloses Regulatory Suspension – Garden City, NY 150 150 ER

Derek Rehill Investigation June 2023-Garden City, NY According to publicly available records Derek John Rehill, a VCS Venture Securities broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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