Home - Page 72 of 247 - Rex Securities Law-BLOG

Rex Securities Law
April 4, 2020
No Comments

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX

Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 4, 2020 April 4, 2020

April 2020- McAllen, TX The FINRA records of Ramon Esparza , a broker previously employed by Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

Rex Securities Law
April 3, 2020
No Comments

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic

Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 3, 2020 April 4, 2020

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

Rex Securities Law
April 2, 2020
No Comments

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 2, 2020 April 2, 2020

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event and a customer…

Rex Securities Law
April 2, 2020
No Comments

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 2, 2020 April 2, 2020

April 2020 -Addison, TX The FINRA records of Jon M. Reppert , a former stockbroker who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…

Rex Securities Law
March 31, 2020
No Comments

Christopher Wenner- Former Peachtree Capital Broker-Discloses Pending Customer Dispute Over IRA Funds-Atlanta, GA

Christopher Wenner- Former Peachtree Capital Broker-Discloses Pending Customer Dispute Over IRA Funds-Atlanta, GA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 31, 2020 June 23, 2020

June 2020 -Atlanta, GA The FINRA records of Christopher J. Wenner , a stockbroker previously registered with Peachtree Capital Corp. , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
March 26, 2020
No Comments

James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA

James Martin Lamont-Former Whitehall-Parker Securities Broker- Discloses Regulatory Events, $1.5M Customer Dispute Settlements and Tax Liens- Novato, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 26, 2020 October 20, 2020

October 2020-San Francisco, CA The FINRA records of James Martin Lamont , a broker who was previously employed by Whitehall-Parker Securities disclose 3 regulatory events, 10 settled customer disputes(which settled cumulatively,…

Rex Securities Law
March 25, 2020
No Comments

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI

Jeffrey Nimmow- Former Forest Securities Financial Advisor- Barred from FINRA – Merrimac, WI https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 25, 2020 October 20, 2020

October 2020- Hillside, IL The FINRA records of Jeffrey Scott Nimmow , a broker previously employed by Forest Securities, Inc. , disclose a regulatory event resulting in his bar from the securities industry, two pending customer…

Rex Securities Law
February 24, 2020
No Comments

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA

Rodney D. Potratz-FSC Securities Corporation Broker-Discloses $6 Million Pending Customer Dispute-Clive.IA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 24, 2020 February 24, 2020

February 2020 -Clive, IA The FINRA records of Rodney David Potratz , a stockbroker who is currently registered with FSC Securities Corporation , disclose a $6 million pending customer dispute. The Financial Industry Regulatory…

Rex Securities Law
February 17, 2020
No Comments

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX

Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2020 February 17, 2020

February 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) , a stockbroker employed with First Western Securities, Inc., discloses a regulatory event resulting in a suspension and…