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exploitation of seniors

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Rex Securities Law

James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Rex Securities Law

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Rex Securities Law

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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Certified Financial Planners Board Disciplines 33 Individuals

Certified Financial Planners Board Disciplines 33 Individuals 150 150 Rex Securities Law

September 2022 Sanctions by Certified Financial Planners Board According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in…

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Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges

Kovack Advisors Hit With $900K Regulatory Sanction Over Wrap Fee Charges 150 150 Rex Securities Law

Kovack Securities Investigation August 2022- Ft. Lauderdale, Florida The Securities and Exchange Commission (SEC) settled charges against registered investment advisor Kovack Advisors, Inc. for misconduct related to its wrap fee…

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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY

Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY 150 150 ER

Kurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein,  a Quint Capital Corporation broker,  discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…

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Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL

Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL 150 150 Rex Securities Law

Gerald J. O’Halloran Investigation   March 2022-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who is currently employed by Union Capital Company and who was…

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