elder financial abuse by stockbroker Archives - Page 9 of 12

Rex Securities Law
March 24, 2017
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San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens

San Antonio Based Investment Professionals, Inc. Sanctioned Over Sales to Senior Citizens 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 24, 2017 March 24, 2017

March 2017-San Antonio, Texas San Antonio, Texas, based stock brokerage firm Investment Professionals, Inc. (IPI) was ordered by William F. Galvin of the Massachusetts Securities Division to pay a $100,000 fine and offer…

Rex Securities Law
March 1, 2017
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LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 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 1, 2017 March 1, 2017

UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…

Rex Securities Law
February 21, 2017
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Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, 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 February 21, 2017 February 21, 2017

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

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 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 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 4, 2016
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Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled Widow

Hank Werner-Former Legend Securities Broker-Discloses Investigation for Churning Account of Blind & Disabled 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 August 4, 2016 August 4, 2016

August 2016-New York The FINRA records of Hank M. Werner , a currently unlicensed stock broker who was most recently employed by Legend Securities Inc. , discloses a pending FINRA investigation in which he was charged with…

Rex Securities Law
August 2, 2016
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FBI Warns of Scams Targeting Seniors in North Texas

FBI Warns of Scams Targeting Seniors in North Texas 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 2, 2016 August 2, 2016

July 29. 2016- Sherman & Denison, Texas The Dallas division of the Federal Bureau of Investigation (FBI) sent out a warning about a scam which targets senior citizens in north…

Rex Securities Law
August 2, 2016
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Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016

Lubbock National Bank Hosts Financial Exploitation Seminar Wednesday, August 3, 2016 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 2, 2016 August 2, 2016

August 1, 2016-Lubbock, Texas Lubbock National Bank announces a free seminar on financial exploitation of the elderly to be held on August 3, 2016, at 2:30 PM , at Raider…

Rex Securities Law
July 8, 2016
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Garden State Securities Order to Pay Damages for Investment Losses

Garden State Securities Order to Pay Damages for Investment 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 July 8, 2016 July 8, 2016

July 5, 2016-New York A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered Garden State Securities, based in Red Bank, New Jersey, to pay an elderly customer over $142,000 to…

Rex Securities Law
June 10, 2016
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Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer

Morgan Stanley Ordered By FINRA Panel to Pay $8.6 Million to Customer 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 June 10, 2016 June 10, 2016

Los Angeles, CA In an arbitration conducted by the Financial Industry Regulatory Authority (FINRA) Morgan Stanley was ordered to pay a retiree over $8.6 million in damages for unauthorized trading…