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Rex Securities Law-BLOG

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

Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA
Gregory McCloskey-Former Westpark Capital Broker-Permanently Barred From FINRA- Irvine, CA 150 150 Rex Securities Law

July 2021- San Clemente, CA According to publicly available records Gregory McCloskey (CRD#2820510), a  former stockbroker who last worked for Westpark Capital,  has been permanently barred from FINRA. The Financial…

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Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ
Robert Delaplain- PHX Financial Advisor- Discloses 2 Regulatory Events- Florham Park, NJ 150 150 Rex Securities Law

July 2021- Florham Park, NJ According to publicly available records,  Robert Delaplain a PHX Financial, Inc. financial advisor , discloses 2 regulatory events. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL
Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Rex Securities Law

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL
Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

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Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX
Daniel Dillard-Former Sagepoint Broker-Discloses $1.5M Suit Over Private Placement-Austin, TX 150 150 Rex Securities Law

July 2021- Austin, TX According to publicly available records, former Sagepoint Financial financial advisor Daniel Dillard,  discloses a regulatory event, 2 pending customer disputes, a termination from employment and an outstanding…

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Recover Your Losses on Hospitality Investors Trust REIT
Recover Your Losses on Hospitality Investors Trust REIT 150 150 Rex Securities Law

Hospitality Investors Trust Real Estate Investment Trust Lawsuit Did you invest in Hospitality Investors Trust REIT ?  Stock Loss Recovery Lawyer If you invested in Hospitality Investors Trust REIT you…

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Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA
Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Rex Securities Law

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

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Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA
Ralph A. Jackson, III- Morgan Stanley Broker-Discloses $7M in Settled Customer Disputes-Los Angeles, CA 150 150 Rex Securities Law

July 2021-Los Angeles, CA According to publicly available records,  Ralph A. Jackson, III (CRD#1569213), a broker currently employed with  Morgan Stanley,  discloses 4 prior customer disputes that were settled. The…

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Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event, 2 Settled Customer Disputes and $3.5M in Pending Disputes-Naples, FL
Jeffrey Leach-Morgan Stanley & Co. Broker- Discloses Regulatory Event, 2 Settled Customer Disputes and $3.5M in Pending Disputes-Naples, FL 150 150 Rex Securities Law

June 2021-Naples, FL According to publicly available records,  a Morgan Stanley & Co. (MSSB)  financial advisor Jeffrey H. Leach (The Leach Group),  discloses a regulatory event, 2 settled customer disputes…

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