elder financial abuse by stockbroker Archives - Page 8 of 12

Rex Securities Law
November 13, 2017
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Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow

Hank Werner-Former Liberty Partners Broker-Barred For Abusing Account of Elderly/Blind Widow 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 13, 2017 November 13, 2017

November 2017 FINRA (The Financial Industry Regulatory Authority) barred stock broker Hank Mark Werner of Northport, New York, for fraudulently churning and excessive trading in the account of a blind,…

Rex Securities Law
October 19, 2017
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William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ

William J. Paynter, Jr.-Wells Fargo Broker Discloses Multiple Customer Complaints-Scottsdale, AZ 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 October 19, 2017 December 19, 2018

December 2018-Scottsdale, AZ William J. (“Bill John”) Paynter, Jr., (CRD#2835535) , a stockbroker who is currently employed by Wells Fargo is the subject of a currently pending customer dispute. He discloses the settlement…

Rex Securities Law
October 13, 2017
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Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, FL

Raymond James, Former Employer of Angela West and Leon Rehak, Named in FINRA Arbitration Suit-Ft. Lauderdale, 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 October 13, 2017 February 13, 2019

February 2019 -Ft. Lauderdale, Florida We have recently submitted a FINRA arbitration claim against Raymond James & Associates on behalf of a retired couple from Ft. Pierce, FL, who are …

Rex Securities Law
September 29, 2017
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Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 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 29, 2017 September 29, 2017

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

Rex Securities Law
July 28, 2017
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Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA

Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA 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 28, 2017 July 28, 2017

Los Angeles, CA-July 2017 A Financial Industry Regulatory Authority (FINRA) arbitration panel comprised of three public arbitrators ordered Wedbush Securities to pay two former customers (husband and wife) compensatory damages…

Rex Securities Law
May 16, 2017
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Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017

Elder Financial Exploitation Seminar-Williston, VT-May 18, 2017 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 16, 2017 May 16, 2017

May 16, 2017-Williston, VT The New England Federal Credit Union is holding a seminar on Elder Financial Exploitation on Thursday, May 18th, at their main branch located at 141 Harvest…

Rex Securities Law
April 24, 2017
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SEC Warns Investors– Beware of Fake News

SEC Warns Investors– Beware of Fake News 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 24, 2017 April 24, 2017

April 2017- Washington, DC The U. S. Securities and Exchange Commission issued an Investor Alert warning that articles on an investment research website appearing to be an unbiased source of…

Rex Securities Law
March 28, 2017
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Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, 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 28, 2017 June 19, 2017

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley , (CRD# 1523981) , a former stockbroker who last worked for Moors & Cabot, discloses 3 prior regulatory events, 2 pending…

Rex Securities Law
March 27, 2017
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Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-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 March 27, 2017 May 18, 2019

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…