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elder financial abuse

Wells Fargo Advisors Fined by Regulator for Account Churning

Wells Fargo Advisors Fined by Regulator for Account Churning 150 150 Rex Securities Law

January 2020 The Financial Industry Regulatory Authority (FINRA) assessed a fine of $175,000 and censured Wells Fargo Advisors for failing to supervise their financial advisor who churned the account of…

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Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO

Joseph A Likens-former LPL Financial Advisor-Discloses 15 Customer Disputes-Des Peres, MO 150 150 Rex Securities Law

January 2020-Des Peres, MO According to publicly available records of Joseph Alan Likens (CRD#3084903) ,  a  former stockbroker who previously worked for LPL FInancial discloses 2 regulatory events, 15 customer disputes,…

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Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ

Conrad Coggeshall-Former Packerland Broker-Charged With Fraud, Scottsdale, AZ 150 150 Rex Securities Law

November 2019-Scottsdale, Arizona Conrad Coggeshall has been charged by the Securities and Exchange Commission with fraud. The SEC complaint alleges that Coggeshall raised $700,000 from four elderly investors from April…

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Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings

Ft. Lauderdale Man Charged with Defrauding Retiree of Retirement Savings 150 150 Rex Securities Law

November 2019- Ft. Lauderdale, FL According to a recent press release from the United States Attorney’s Office for the Southern District of Florida, Michael Jerome Atkins, 60, was arraigned on…

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Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Rex Securities Law

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY

Ian Greenblatt-Capitol Securities Management Broker-Discloses Regulatory Suspension and Settlement of Customer Dispute-Melville, NY 150 150 Rex Securities Law

December 2018-Melville, New York According to publicly available records   Ian Greenblatt (aka Eric Green)  , a  stockbroker who is currently registered with Capitol Securities Management Inc.  disclose a recent regulatory suspension & fine…

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Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL

Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Rex Securities Law

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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