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avoid financial exploitation of elderly

William Gordon-Capital Financial Services Broker-Discloses12 Customer Suits-Clearwater, FL
William Gordon-Capital Financial Services Broker-Discloses12 Customer Suits-Clearwater, FL 150 150 Rex Securities Law

February 2019 – Clearwater, FL According to publicly available records  William B. Gordon  (CRD# 2127800) ,  a   registered stockbroker currently employed by Capital Financial Services  disclose a prior regulatory event, a pending…

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Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY
Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Rex Securities Law

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL
Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 150 150 Rex Securities Law

March 2019 – Coral Gables, FL According to FINRA records,  Alex Gerardo Herrera,   a former stockbroker who  last worked for USB Financial Services,  discloses 2 prior regulatory events , a current customer dispute…

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Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL
Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Rex Securities Law

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon
Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 150 150 Rex Securities Law

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon,  against American Independent Securities Group…

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John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI
John Maccoll Charged With Stealing Nearly $4 Million from UBS Customers-Birmingham, MI 150 150 Rex Securities Law

August 2018-Birmingham, Michigan The FINRA records of  John C. Maccoll,  a  stock broker who was last employed by UBS Financial Services ,  disclose that he was recently discharged by UBS after failing to cooperate…

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Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana
Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana 150 150 Rex Securities Law

July 2018- Fort Wayne, Indiana The FINRA records of  Joel Vincent Flaningan ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a pending customer dispute involving…

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AARP S. Dakota Elder Abuse Event-June 14, 2018
AARP S. Dakota Elder Abuse Event-June 14, 2018 150 150 Rex Securities Law

June 13-Sioux Falls, S.D. Erik Nelson, director of advocacy for AARP South Dakota recently stated that many seniors who are taken advantage of react with hurt or disbelief and hesitate…

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