churning and the looper formula Archives

Rex Securities Law
August 30, 2017
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Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO

Todd Allen Burnett-Oppenheimer & Co. Broker-Discloses Customer Dispute Alleging Churning – St. Louis, MO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2017 August 30, 2017

August 2017 – St. Louis, MO According to publicly available records Todd Allen Burnett (CRD#2703620) , a stockbroker who currently is employed by Oppenheimer & Co. , disclose a recently filed customer dispute. The Financial…

Rex Securities Law
May 10, 2017
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Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY

Craig S. Forster-Former Oppenheimer Broker-Discloses Customer Disputes-Hawthorne, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 10, 2017 May 10, 2017

May 2017-Hawthorne, NY The FINRA records of Craig S. Forster , a stockbroker who is currently registered with Woodstock Financial Group disclose 9 prior customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

Rex Securities Law
April 29, 2017
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Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY

Jonathan M. Zucker-Northeast Securities Broker-Discloses Customer Dispute-Mitchelfield, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 29, 2017 April 29, 2017

April 2017-Mitchelfield, NY The FINRA records of Jonathan M. Zucker , a broker with Northeast Securities disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

Rex Securities Law
February 13, 2017
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Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning

Matthew Maczko-Former Wells Fargo Broker- Barred by Securities Regulators-Churning http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 13, 2017 March 27, 2017

February 2017- Oak Brook, Illinois According to publicly available records Matthew Christopher Maczko , (CRD# 1888519) , a former stockbroker who was last employed by Wells Fargo Advisors, LLC, discloses that FINRA has permanently…

Rex Securities Law
August 14, 2016
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William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers

William Gennity-Former Alexander Capital Broker-Accused of Churning by Regulators & Customers http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 14, 2016 March 5, 2019

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE April 2017-The FINRA records of William Gennity report the filing of an action by the US Securities and Exchange Commission…

Rex Securities Law
July 9, 2016
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Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL

Primex Broker Daniel L. Silverstein Discloses Customer Dispute Alleging Churning-Miami, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 9, 2016 April 25, 2017

APRIL 2017 UPDATE–Daniel L. Silverstein , a broker with Primex in Miami, FL, discloses that in currently pending FINRA Case 16-02252 a customer of Primex alleges damages of $431,000 for…

Rex Securities Law
May 14, 2016
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William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint

William Gennity-Former Alexander Capital Stockbroker-Named in Churning Complaint http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 14, 2016 March 5, 2019

MARCH 2019 Update–SEC enters consent judgement vs. William Gennity. UPDATE August 2016–William Gennity Named in Churning Complaint by Montana Securities Regulator. Follow this link for details. May 2016- NYC The Financial Industry…