account churning Archives - Page 5 of 8

Rex Securities Law
February 1, 2018
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Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-Houston, TX

Charles Dixon- Former Morgan Stanley Broker-Barred From Industry-Discloses Settlement with Customer-Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 1, 2018 March 28, 2018

JANUARY 2018-Houston, TX According to publicly available records Charles Albert Dixon Jr. , a former stockbroker with Morgan Stanley was barred by FINRA from acting as a broker or otherwise associating…

Rex Securities Law
November 13, 2017
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Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g November 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Rex Securities Law
October 19, 2017
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Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator

Marc Reda-Spartan Capital Broker-Accused of Churning and Unauthorized Trading by Regulator https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 19, 2017 July 20, 2021

July 2021 UPDATE According to FINRA records, Marc A. Reda , a broker who is currently employed by Spartan Capital Securities, discloses a pending regulatory matter, a prior regulatory matter, a…

Rex Securities Law
October 13, 2017
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Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, FL

Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 13, 2017 February 13, 2019

February 2019 -Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are …

Rex Securities Law
May 23, 2017
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Jason N. Anderson-Former LPL Financial Broker-Sued for Churning/Account Mismanagement-Beaumont, TX

Jason N. Anderson-Former LPL Financial Broker-Sued for Churning/Account Mismanagement-Beaumont, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 23, 2017 May 24, 2017

May 2017 – Beaumont, Texas Two elderly former customers of LPL Financial have filed a class action lawsuit against LPL Financial and their former broker Jason N. Anderson seeking damages current…

Rex Securities Law
May 18, 2017
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Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY

Keith J. Hart – Broker previously Aegis Capital- Discloses Customer Dispute – Melville, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 18, 2017 May 18, 2017

May 2017- Melville, NY According to publicly available records Keith J. Hart (CRD#4438580) , a stockbroker who is currently not registered, but was previously registered with Aegis Capital Corp., discloses 2 pending customer disputes.…

Rex Securities Law
May 11, 2017
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Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL

Ramesh Madhusudan-Raymond James Broker-Discloses $9M Customer Dispute-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 11, 2017 May 11, 2017

May 2017-Miami, FL The FINRA records of Ramesh Madhusudan, a stockbroker who is employed by Raymond James Financial Services disclose a prior customer dispute and a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

Rex Securities Law
March 8, 2017
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James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, Texas

James C. Hayne-Former Cetera Advisors Broker-Discloses Customer Disputes-Mansfield, Texas https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 8, 2017 March 8, 2017

February 2017-Mansfield, Texas According to publicly available records James C. Hayne , (CRD# 3257845) , a stockbroker who is not currently registered and who was last employed by Cetera Advisors, discloses…

Rex Securities Law
March 3, 2017
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Kevin Jones-Former Newbridge Securities Broker-Discloses Customer Disputes-New York

Kevin Jones-Former Newbridge Securities Broker-Discloses Customer Disputes-New York https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 3, 2017 September 28, 2018

September 2018-New York According to publicly available records Kevin C. Jones , (CRD# 3124650) , a stockbroker who is not currently registered and who was last employed by Newbridge Securities Corp.,…