Brookstone Securities investigation Archives

Rex Securities Law
May 19, 2016
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Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute

Edgar A. Thomas-Former Investors Capital Broker-Discloses Customer Dispute 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 19, 2016 May 19, 2016

Lakeland, Florida According to FINRA records, Edgar A. Thomas , a broker who is currently registered with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

Rex Securities Law
May 14, 2016
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Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration

Richard L. Brown Indicted for Securities Fraud-Named in Churning Arbitration 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 14, 2016 May 15, 2016

May 2016-Farmingdale, New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes…

Rex Securities Law
May 14, 2016
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Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales

Laurence M. Torres -Former Alexander Capital/First Standard Financial Stockbroker Accused of High Pressure Sales 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 14, 2016 June 9, 2018

MAY 2018 UPDATE-LAURENCE TORRES BARRED FROM SECURITIES INDUSTRY-ACCUSED OF HIGH PRESSURE SALES. See this for details. ORIGINAL POST May 2016- Staten Island, NY The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
April 27, 2016
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Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens

Wayne Ford-Former Salomon Whitney Broker-Discloses Pending Customer Dispute & Liens 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 27, 2016 June 19, 2017

Farmingdale, New York JANUARY 2017 UPDATE-In January 2017, Wayne F. Ford was suspended by FINRA for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond…