Centaurus Financial, Cetera Advisors, Cetera Financial Group, Securities America, Stockbroker Malpractice, StockBroker Misconduct

Rodrick Dow-Former Securities America Broker-Suspended by FINRA- Houston, TX

April 2020-Houston, TX

According to publicly available records of Rodrick Dow (CRD#2855724) ,  a  former stockbroker who last worked for Securities America, Inc.,  was recently suspended indefinitely.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In November of 2019, FINRA  suspended  Dow  from the securities industry, indefinitely,  after  he failed to comply with an arbitration award ordering him to repay a loan to his former employer, Securities America.

In 2012 Dow, who was also a certified public accountant, was suspended for 2 years by the Texas State Board of Accountancy and fined $19,769 for failing to correctly prepare a client tax return, failure to attend an IRS meeting regarding a client audit and misleading advertising on his business website.

Dow  was employed by Securities America  from August/ 2016 until November/2019.      Prior to that time he was with Cetera Financial Specialist, Cetera Investment Advisors, Centaurus Financial, Inc. and H.E. Vest Investment Services.   

If you have questions about  an account handled by Rodrick Dow  call to discuss your options with an experienced securities attorney.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Raymond James, Stockbroker Discharged, Stockbroker Malpractice, StockBroker Misconduct

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX

April 2020-Dallas, TX

According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) ,  a  former stockbroker who last worked for Raymond James & Associates, Inc.   discloses  a regulatory event and a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 17-1028, Vaccaro was sued by his former employer Raymond James for failure to repay loans made to him. An arbitration panel found that Vaccaro liable for payment of principal and interest of about $1.75 million. In August of 2019, FINRA  suspended  Vaccaro from the securities industry indefinitely  after finding that he failed to comply with that arbitration.

Vaccaro was employed with Raymond James  from October 2013 until 6/2016 when he was discharged for violating the firm’s gift, client entertainment, third party expense reimbursement and charitable contributions policy by failing to disclose benefits received from an insurance company.       Prior to that he was with Southwest Securities, Inc., and Oppenheimer & Co., Inc.    

If you had an account with Anthony Vaccaro, Jr.   that suffered losses, you may be entitled to collect damages from his prior employer. Call to discuss your options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

HilltopSecurities (formerly Southwest Securities), Stockbroker Malpractice, StockBroker Misconduct, Unsuitable Investments

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

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 securities industry and two customer disputes.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In July 2019, Cagle was permanently barred from the securities industry by the Securities and Exchange Commission after allegations that he refused to appear for on-the-record testimony as requested by FINRA in connection with an investigations that he violated FINRA rules by making unsuitable investment recommendations and mis-marking customer order tickets while associated with his former member firm.

In March  2019,  a Hilltop Securities  customer was paid $20,000 to resolve allegations that Cagle made unsuitable investment recommendations.

In October 2018, a customer of Hilltop Securities  filed FINRA Case 18-3357 alleging unsuitable recommendations. That case was settled in 3/2019 for $230,000.

Cagle was employed with Hilltop Securities Independent Network, Inc..  from March of 1997 until March of 2019.

If you have questions about an account  handled by Richard Cagle call for a no charge consultation .

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Fidelity Investments, Stockbroker Discharged, Stockbroker Malpractice, StockBroker Misconduct

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

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 a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In July 2019 , Garcia  was permanently barred from the securities industry by the Securities and Exchange Commission after allegations that he refused to appear for on-the-record testimony as requested by FINRA in connection with an investigations into reimbursements he received under his firm’s computer equipment reimbursement program.

Garia was with Fidelity Investments from April 2014 until he was discharged in October of 2017 after allegations that he submitted altered receipts and was inappropriately paid under the firm’s computer equipment purchase program and fitness reimbursement program.

If you have problems in an account  handled by Ernie Garcia call for a no charge consultation .

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

State Farm VP Management, Stockbroker Discharged, Stockbroker Malpractice, StockBroker Misconduct

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

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 securities industry and a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In April 2019, Rabio was permanently barred from the securities industry by the Securities and Exchange Commission after allegations that he refused to respond to FINRA request for information.

Rabio was employed with State Farm VP Management Corp.  from March of 2011 until 2/2019 when he was discharged after an internal review concluded that he did not follow the guidelines for the Premium Fund Account policy.

If you have problems in an account  handled by Miguel Angel Rabio call for a no charge consultation .

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

International Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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

This site is protected by wp-copyrightpro.com