financial exploitation by financial advisor Archives

Rex Securities Law
August 24, 2022
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Can I Sue My Stockbroker or Financial Advisor for Losses?

Can I Sue My Stockbroker or Financial Advisor for 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 August 24, 2022 August 17, 2023

YES-You Can How to Recover Losses Caused by Your Stockbroker or Financial Advisor The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA…

Rex Securities Law
June 13, 2018
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AARP S. Dakota Elder Abuse Event-June 14, 2018

AARP S. Dakota Elder Abuse Event-June 14, 2018 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 13, 2018 June 13, 2018

June 13-Sioux Falls, S.D. Erik Nelson, director of advocacy for AARP South Dakota recently stated that many seniors who are taken advantage of react with hurt or disbelief and hesitate…

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
March 21, 2016
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Citadel Securities-Numerous Recent Regulatory Sanctions

Citadel Securities-Numerous Recent Regulatory Sanctions 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 21, 2016 March 27, 2016

March 2016 According to FINRA records, Citadel Securities has a number of regulatory sanctions over the recent years, including the following: October 2015 FINRA Sanction- The firm used a trading logic that…

Rex Securities Law
September 18, 2015
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FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading Fraud

FBI Seeks Jean Chauvel In Connection With Florida-Based Commodity Trading 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 18, 2015 April 12, 2016

September 16, 2015- Miami, FL The FBI announced that they area seeking information that will lead to the arrest of Jean Chauvel who is wanted in connection with a Florida…

Rex Securities Law
August 27, 2015
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Dennis Flood of Medina County Ohio Sentenced For Insurance Scam

Dennis Flood of Medina County Ohio Sentenced For Insurance Scam 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 27, 2015 February 11, 2016

August 26, 2015- Cleveland, Ohio Cleveland.com reports that Dennis Flood, 64, of Brunswick, Ohio, pleaded guilty to engaging in a pattern of corrupt activity and aggravated theft for stealing from…

Rex Securities Law
June 8, 2015
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Investment Fraud Workshop Set for June 15, Salina Public Library

Investment Fraud Workshop Set for June 15, Salina Public Library 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 8, 2015 April 14, 2016

A free workshop discussing the tactics and schemes of fraudsters and scammers will be held on June 15, 2015, from 12:45-1:45pm at the Salina Public Library in the Prescott Meeting…

Rex Securities Law
June 1, 2015
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Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law

Frank Dettenrieder, Former First Allied Securities Broker-San Miguel de Allende, Investigated by Rex Securities Law 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 1, 2015 February 11, 2016

June 1, 2015-San Miguel de Allende, Mexico Rex Securities Law is investigating Frank Nicholas Dettenrieder who was formerly a stock broker with First Allied Securities from December 2008 until July 2013 when…

Rex Securities Law
April 6, 2015
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Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked

Financial Agent Defrauds Elderly New Jersey Investor has Registration Revoked 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 6, 2015 April 28, 2016

April 2, 2015 The registration of Ronald Paul Rafaloff of the Bronx had his registration revoked by the New Jersey Bureau of Securities and ordered him to pay $200,000 in…