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Rex Securities Law-BLOG

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

Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX
Richard Cagle-Former Hilltop Securities Broker- Barred From FINRA-Discloses Regulatory Event and Two Customer Disputes-Corpus Christi, TX 150 150 Rex Securities Law

April 2020- Corpus Christi, TX The FINRA records of Richard Earl Cagle, a broker previously employed  by  Hilltop Securities Independent Network, Inc. , disclose  a regulatory event resulting in his bar from the…

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Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX
Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX 150 150 Rex Securities Law

April 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed  by  Fidelity Brokerage Services, Inc. , disclose  a regulatory event resulting in his bar from the securities industry and…

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Miguel A. Rabio-Former State Farm VP Management Corp. Broker Barred from FINRA-Discloses Regulatory Event and Termination-El Paso, TX
Miguel A. Rabio-Former State Farm VP Management Corp. Broker Barred from FINRA-Discloses Regulatory Event and Termination-El Paso, TX 150 150 Rex Securities Law

April 2020- El Paso, TX The FINRA records of Miguel Angel Rabio, a broker previously employed  by  State Farm VP Management Corp. , disclose  a regulatory event resulting in his bar from the…

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Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX
Sofia T. Gonzalez-Former Merrill LynchBroker- Discloses 2 Regulatory Events and Termination-Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records.  Sofia T. Gonzalez (CRD#6243469), a  former stockbroker who last worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated discloses 2 regulatory events, …

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Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY
Leonard “Lenny” Kinsman-Former Wells Fargo Broker- Subject of Customer Suits & Regulatory Bar-Staten Island, NY 150 150 Rex Securities Law

June 2020-Staten Island, NY According to publicly available records of Leonard “Lenny” Kinsman (CRD#2816535) ,  a former broker who was last registered with Wells Fargo Advisors Financial Network, discloses 5 prior…

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Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA
Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA 150 150 Rex Securities Law

June 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed  by  Foresters Equity Services,  , disclose  a regulatory event resulting in his bar from the securities industry…

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Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL
Jun Zhou-Former The Leaders Group, Inc. Broker- Barred from FINRA-Chicago, IL 150 150 Rex Securities Law

April 2020- Chicago, IL The FINRA records of Jun Zhou, a broker previously employed  by  The Leaders Group, Inc. & Farmers Financial Solutions, disclose  a regulatory event resulting in her bar from…

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Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX
Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX 150 150 Rex Securities Law

April 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed  by  NYLife Securities, disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX
Mauricio Borja- Former Allstate Financial Services Broker Barred From Securities Industry-McAllen, TX 150 150 Rex Securities Law

April 2020-McAllen, TX The FINRA records of Mauricio Borja, a broker previously employed  by  Allstate Financial Services, disclose  a regulatory event resulting in his bar from the securities industry. The Financial Industry…

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