excessive use of margin Archives - Rex Securities Law-BLOG

ER
June 27, 2023
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Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL

Robert Li-LPL Financial Broker-Discloses Customer Dispute Over Use of Margin Borrowing- Naperville, IL 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 June 27, 2023 June 27, 2023

Robert Li Investigation June 2023-Naperville, IL According to publicly available records Robert Li an LPL Financial broker, disclose pending customer disputes alleging unsuitable use of margin borrowing as a trading…

ER
March 14, 2023
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Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX 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 14, 2023 March 14, 2023

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…

Rex Securities Law
April 26, 2017
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John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, NY

John Fenimore-Former Aegis Capital Broker-Discloses Customer Disputes Alleging Unsuitable Use of Margin-Hauppauge, 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 April 26, 2017 April 26, 2017

April 2017- Hauppauge, NY The FINRA records of John David Fenimore , a former Aegis Capital stockbroker who is currently not registered disclose a pending customer dispute and a prior customer dispute that has been settled.…