A&F Financial Services Archives - Rex Securities Law-BLOG

Rex Securities Law
February 13, 2017
No Comments

Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint

Worden Capital Brokers Gregory Dean and Donald Fowler Named in SEC Complaint 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 13, 2017 December 23, 2019

August 2019 Update-Gregory Dean was barred from the securities industry for churning customer accounts. See this for more details. MAY 2018 UPDATE–See this for update on pending customer disputes. ORIGINAL…

Rex Securities Law
July 20, 2016
No Comments

Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice

Donald J. Fowler-Worden Capital Management Broker-Discloses Customer Disputes Alleging Churning & Receipt of Wells Notice 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 July 20, 2016 April 19, 2018

UPDATE APRIL 2018-Donald Fowler charged with excessive trading and other securities violations by US Securities and Exchange Commission. See this for details. UPDATE August 2016–Fowler discloses regulatory investigation. On July 15, 2016,…