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Rex Securities Law-BLOG

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

Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Wisconsin Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Wisconsin Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Wisconsin who have been disciplined by…

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California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

California Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned California Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from California who have been disciplined by…

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Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Oklahoma Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Oklahoma Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Oklahoma who have been disciplined by…

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Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Louisiana Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Louisiana Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Louisiana who have been disciplined by…

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Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Texas Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

Sanctioned Texas Financial Planners The list below, taken from the CFP board disciplinary page of their website in September 2021, is a historical record of individuals from Texas who have been disciplined…

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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Rex Securities Law

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Rex Securities Law

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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