fbpx

Rex Securities Law-BLOG

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

Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX

Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX 150 150 ER

Derick  Strickland Investigation September 2022- Houston, TX  The FINRA records of  Derick Montrele Strickland ,  a former broker with Allstate Financial Services,  disclose a recent bar from the securities industry. The…

read more

Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL

Marc Lowell- Former LPL Financial Broker-Discloses Termination- Ft. Lauderdale, FL 150 150 ER

Marc Lowell Investigation September  2022- Ft. Lauderdale, FL The FINRA records of  Marc Layne Lowell,   a  stockbroker previously employed by  LPL Financial and who is currently employed with Alliance Global Partners…

read more

Intervest International Equities & GWG L-Bonds Losses?

Intervest International Equities & GWG L-Bonds Losses? 150 150 Rex Securities Law

Losses on GWG L-Bonds Purchased From Intervest International Equities?   As we have previously posted, see link ( GWG L-Bonds. We can help ), given the fact that GWG Holdings has…

read more

Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO

Jon Vinge – Intervest International Equities Broker-GWG L- Bond Suit – Colorado Springs, CO 150 150 Rex Securities Law

Jon Vinge & GWG L-Bond Investigation August 2022-Colorado Springs, CO  The FINRA records of Jonathan C. Vinge,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

read more

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX

Jon Ellefson – Intervest International Equities Broker-GWG L- Bond Suit – Harker Heights, TX 150 150 Rex Securities Law

Jon Ellefson & GWG L-Bond Investigation August 2022-Harker Heights, TX The FINRA records of Jonathan Eric Ellefson,  an  Intervest International Equities Corp.  broker was recently named in a FINRA arbitration by a…

read more

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX 150 150 Rex Securities Law

Annetta Marie Box Investigation August 2022- Dallas, TX  The FINRA records of  Annetta Marie Box ,  a former broker with Cambridge Investment Research Advisors,  disclose a recent bar from the securities…

read more

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Rex Securities Law

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

read more

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC 150 150 Rex Securities Law

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz,  a  former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

read more

Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO

Robert Bragg-Newbridge Securities Broker-Discloses Customer Disputes Over Alternative Investments- Monument, CO 150 150 Rex Securities Law

Robert C. Bragg Investigation Monument,  Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities,  discloses a pending customer dispute and a prior regulatory matter.…

read more