avoid financial exploitation of elderly Archives - Page 9 of 21

Rex Securities Law
April 2, 2018
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Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX

Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-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 April 2, 2018 April 2, 2018

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

Rex Securities Law
March 31, 2018
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Todd Burnett-Oppenheimer Stockbroker-Subject of $900K Customer Complaint Alleging Churning & Missing Funds-St. Louis, MO

Todd Burnett-Oppenheimer Stockbroker-Subject of $900K Customer Complaint Alleging Churning & Missing Funds-St. Louis, MO 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 31, 2018 April 17, 2019

April 2019 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) , a stockbroker who currently is employed by Oppenheimer & Co. , disclose that a customer recently settled a FINRA…

Rex Securities Law
March 21, 2018
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Beware of Grandparent Scam-Columbiana, Alabama

Beware of Grandparent Scam-Columbiana, Alabama 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 21, 2018 March 21, 2018

March 2018-Columbiana, Alabama The Alabaster Reporter reports that the Alabaster Police Department is warning elderly local residents to beware of ascam targeting senior citizens. According to the police a local citizen…

Rex Securities Law
March 19, 2018
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Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, Texas

Dennis Van Patter-Former VSR Financial Services Broker-Subject of Customer Suits Over REITs-Plano, 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 19, 2018 March 19, 2018

March 2018-Plano, Texas According to public records former VSR Financial Services broker Dennis Van Patter discloses a prior final regulatory event, 7 prior customer disputes that are final and 3 pending customer…

Rex Securities Law
March 7, 2018
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Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO.

Bob Wamhoff-Former VSR Financial Services Broker-Discloses Suits Involving REIT Investments-St. Charles, MO. 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 7, 2018 March 7, 2018

February 2018-Saint Charles, MO The FINRA records of Robert (Bob) Wamhoff, a stockbroker who was formerly employed by VSR Financial Services disclose 2 currently pending and 8 prior customer disputes that are final. The Financial…

Rex Securities Law
March 6, 2018
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Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, TX

Lewis (Buddy) Rogers-Raymond James Broker-Former Client Awarded Over $250K For Unsuitable MLP Investments-Dallas, 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 March 6, 2018 March 6, 2018

March 2018-Dallas, Texas Lewis H. Rogers, a broker who has worked for Raymond James & Associates since 2/2013, discloses on his FINRA records that an all public FINRA arbitration panel…

Rex Securities Law
March 5, 2018
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Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, FL

Richard Shotz-Former Morgan Stanley Broker-Suspended by Regulator for Sale of UITs-Daytona Beach, 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 March 5, 2018 March 5, 2018

March 2018- Daytona Beach, Florida The FINRA records of Richard Alan Shotz , a stockbroker who was last employed by Wells Fargo and Morgan Stanley disclose a recent regulatory matter resulting in his suspension. The…

Rex Securities Law
February 24, 2018
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Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, FL

Christopher Hickman-Former Cetera Advisors Broker-Discloses a Regulatory Event, 7 Customer Disputes -Delray Beach, 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 February 24, 2018 May 4, 2019

May 2019- Delray Beach, FL According to publicly available records Christopher Robert Hickman. (CRD#3267599) , a stockbroker who is not currently registered, and who last was employed by Cetera Advisors , disclose a regulatory event and seven…

Rex Securities Law
February 23, 2018
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Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,FL

Jeffrey Palish-Former Wells Fargo Broker-Charged with Theft-Woodcliff Lake, NJ and Delray Beach,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 February 23, 2018 February 23, 2018

February 2018-Woodcliff Lake, NY & Delray Beach, FL According to The Ridgewood Blog and other local press, Jeffrey Palish, DOB 2/23/1953 of 22 Oakwood Drive, Woodcliff Lake, New Jersey was arrested…