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Rex Securities Law-BLOG

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

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA 150 150 Rex Securities Law

July 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a  former stockbroker who last worked for Allstate Financial Services,  has been permanently barred from FINRA. The Financial…

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John Grifonetti- Former Bardown Capital Broker- Permanently Barred from FINRA- Old Tappan, NJ

John Grifonetti- Former Bardown Capital Broker- Permanently Barred from FINRA- Old Tappan, NJ 150 150 Rex Securities Law

July 2021- Old Tappan, NJ According to publicly available records John Grifonetti (CRD#3040205), a  former stockbroker who last worked for Bardown Capital,  discloses a 9 final regulatory events. The Financial…

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Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA

Martin Noonan-Former BMA Securities Broker-Permanently Barred from FINRA-Discloses Customer Dispute & Outstanding Liens- El Segundo, CA 150 150 Rex Securities Law

July 2021- El Segundo, CA According to publicly available records, former BMA Securities  financial advisor Martin Noonan,  has been barred from FINRA and discloses a pending customer dispute and outstanding…

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Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ

Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ 150 150 Rex Securities Law

July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital  financial advisor Dennis James Murphy,  has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…

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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA

Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Rex Securities Law

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY

Donald Stephen Woods-Former LPL Financial Broker-Discloses a Regulatory Event, 11 Settled Customer Disputes and 1 Pending Customer Disputes-Louisville, KY 150 150 Rex Securities Law

July  2021– Louisville, KY The FINRA records of Donald Stephen Woods,  a former stockbroker  who was last employed  by  Thurston Springer Financial , disclose  a final regulatory event, 11 settled customer disputes and…

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Shaun E. Stein- National Securities Corp. Broker-Discloses 3 Pending Customer Disputes- New York, NY

Shaun E. Stein- National Securities Corp. Broker-Discloses 3 Pending Customer Disputes- New York, NY 150 150 Rex Securities Law

July 2021 – New York, NY According to publicly available records, a  National Securities Corp. broker Shaun E. Stein,  discloses 3 pending and 2 prior customer disputes. The Financial Industry…

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Maria Calcena-Former Ocean Financial Services Broker- Discloses $245K Pending Customer Dispute-Miami, FL

Maria Calcena-Former Ocean Financial Services Broker- Discloses $245K Pending Customer Dispute-Miami, FL 150 150 Rex Securities Law

July 2021- Palm Beach, FL According to publicly available records,  Maria Calcena, a broker with Infinex Investments, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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