finra arbitration attorney Archives - Page 135 of 170

Rex Securities Law
April 7, 2016
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Bruce Meyers Investigation-Meyers Associates, LP

Bruce Meyers Investigation-Meyers Associates, LP 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 7, 2016 April 25, 2017

UPDATE-April 2017 The FINRA records of Bruce Meyers, a currently unregistered stock broker who formerly worked for Meyers Associates, now report 19 disclosure events, including 1 pending and 7 final regulatory events, 2…

Rex Securities Law
April 7, 2016
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Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension

Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 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 7, 2016 May 21, 2017

May 2017-Newton, PA The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

Rex Securities Law
April 7, 2016
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Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration

Neal Scott-Former Euro Pacific Capital Broker Named in Customer Arbitration 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 7, 2016 July 8, 2016

April 7, 2016-New York, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer…

Rex Securities Law
April 7, 2016
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William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX

William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, 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 April 7, 2016 January 31, 2019

JANUARY 2019 UPDATE– See this for more. April 7, 2016- Houston, TX FINRA records report that former UBS Financial Services stockbroker William A. Hightower is named in a currently pending arbitration…

Rex Securities Law
April 6, 2016
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EDI Financial in El Paso, Texas Ordered to Pay Customer $273K

EDI Financial in El Paso, Texas Ordered to Pay Customer $273K 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, 2016 April 6, 2016

January 19, 2016-El Paso, Texas A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered stock brokerage firm EDI Financial, Inc. to pay a customer $273,606 in damages and attorney fees.…

Rex Securities Law
April 4, 2016
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Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire Fraud

Candace McLeod, Holt, FLA, Sentenced to 75 Months for Wire 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 April 4, 2016 April 17, 2016

April 1, 2016 Candace B. McLeod, 32, of Holt, FL, was sentenced to 75 months in Federal prison according to a release from the US Department of Justice. McLeod had…

Rex Securities Law
April 4, 2016
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Dion Padilla Investigation-NEXT FInancial Group Stockbroker-San Antonio,TX

Dion Padilla Investigation-NEXT FInancial Group Stockbroker-San Antonio,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 April 4, 2016 May 18, 2019

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details. Original Post-April 4, 2016-San Antonio, Texas According to their website, The Financial Industry Regulatory Authority (FINRA),…

Rex Securities Law
April 1, 2016
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Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH

Charles Kulch Investigation-NEXT FInancial/Investors Capital Broker-Nashua, NH 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 1, 2016 April 1, 2016

April 1, 2016- Nashua, New Hampshire FINRA records report that NEXT Financial Group stockbroker Charles Kulch , of Nashua ,New Hampshire, lists two customer disputes: FINRA Case 15-0762-the customer alleges that NEXT Financial Group…

Rex Securities Law
April 1, 2016
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Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,TX

Tye Williams Named in Lawsuit-NEXT Financial Broker-Frisco,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 April 1, 2016 December 9, 2016

UPDATE SEPTEMBER 2016– Former NEXT Financial Group stockbroker, Tye Williams barred from the securities industry for failing to cooperate with regulatory investigation alleging theft of $1M. See this for more details. …