Rex Securities Law
August 24, 2022
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Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for Losses? 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 August 24, 2022 August 24, 2022

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

ER
March 31, 2022
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Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC

Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 March 31, 2022

Wynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…

Rex Securities Law
November 11, 2021
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Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers

Aegis Capital Corp. Fined $2.8M – Regulator Alleges Excessive Trading by Brokers 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 November 11, 2021 November 11, 2021

Aegis Capital Corp. Investigation November 2021 Aegis Capital was fined nearly $3 million dollars by FINRA for allegedly excessive trading in customer accounts. According to the Letter of Acceptance, Waiver…

Rex Securities Law
November 11, 2021
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Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, 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 November 11, 2021 November 11, 2021

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records Lawrence B. Goldstein (CRD#2282699), a former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

Rex Securities Law
September 15, 2021
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Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY

Donald Fowler-Former Worden Capital Management Broker-Accused of Churning-Barred From Industry-Rockville Centre, NY 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 September 15, 2021 September 15, 2021

September 2021-Rockville Centre , New York The FINRA records of Donald J. Fowler , a previously registered stock broker was last employed by Worden Capital Management, disclose 13 prior finalized customer disputes , 2 pending…

Rex Securities Law
July 24, 2021
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Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York

Jason A. Wilk-Former Worden Capital Broker-Suspended by FINRA-New York 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 24, 2021 August 2, 2021

August 2021-New York, NY According to publicly available records Jason Andrew Wilk , a former stockbroker who is not currently registered and who was last employed by Worden Capital Management ,…

Rex Securities Law
January 8, 2020
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Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL.

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes and Pending Bankruptcy-Hillside, IL. 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 January 8, 2020 January 8, 2020

January 2020 – Hillside, IL The FINRA records of Jack David Stone , a former stockbroker who was last employed by Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

Rex Securities Law
July 15, 2019
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Andre Davis- Former First Standard Financial Broker-Discloses 13 Customer Disputes-Red Bank, NJ

Andre Davis- Former First Standard Financial Broker-Discloses 13 Customer Disputes-Red Bank, NJ 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 15, 2019 July 15, 2019

June 2019, Red Bank, NJ According to publicly available records Andre Pierre Davis (CRD#1417097) , a stockbroker who is not currently registered and who was last registered with First Standard Financial…

Rex Securities Law
August 18, 2018
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Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY

Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY 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 August 18, 2018 January 31, 2019

January 2019-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose a pending customer dispute, 6 prior customer disputes, a bankruptcy filing and 9 outstanding…

churning by stock broker