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elder financial abuse by stockbroker

Dennis Van Patter Named in Second Arbitration Complaint-Plano Texas

Dennis Van Patter Named in Second Arbitration Complaint-Plano Texas 150 150 Robert H. Rex

 Rex Securities Law has been investigating VSR Financial broker Dennis Van Patter and on April 22, 2014, filed a FINRA arbitration against VSR Financial on behalf of one of Van Patter’s former clients. See this for…

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Elder Abuse Can Include Financial Abuse of Your Investment Account

Elder Abuse Can Include Financial Abuse of Your Investment Account 150 150 Rex Securities Law

Elder abuse is often defined as a single of repeated act, or lack of appropriate action, occurring in any relationship where there is an expectation of trust, which causes harm…

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Losses on Lexington Capital Funding III CDO?

Losses on Lexington Capital Funding III CDO? 150 150 Rex Securities Law

Have you or your loved ones suffered losses as a result of purchasing Lexington Capital Funding III Collateralized Debt Obligation  (CDO) ? This complex product was sold by Merrill Lynch to institutions…

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Stockbroker Jailed for Selling Annuity to 83 Year Old Woman

Stockbroker Jailed for Selling Annuity to 83 Year Old Woman 150 150 Rex Securities Law

The Wall Street Journal reports that California’s insurance commissioner had independent insurance agent Glenn Neasham arrested for selling a complex annuity to an 83 year old woman. The jury in Lake County,…

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Florida Dept. of Elder Affairs Announces Investment Fraud Information Website for Seniors

Florida Dept. of Elder Affairs Announces Investment Fraud Information Website for Seniors 150 150 Robert H. Rex

A recent article in the Palm Beach Post addressed the fact that scams and fraud against the elderly are a major problem in Florida. According to Florida Department of Elder…

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Securities Regulator, FINRA, Warns to Deal Fairly With Senior Investors

Securities Regulator, FINRA, Warns to Deal Fairly With Senior Investors 150 150 Rex Securities Law

In FINRA Regulatory Notice 11-52, issued in November 2011, the Financial  Industry Regulatory Authority reminded brokerage firms of their supervisory obligations regarding the use of certifications and designations that imply…

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