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kovack securities complaint

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals

“Free Dinner” Investment Scam in Florida Leads to Fraud Complaint Against Four Individuals 150 150 Rex Securities Law

April 4, 2016 The Securities and Exchange Commission (SEC) filed a complaint charging four individuals with fraud on senior citizens who were tempted to “free dinner” seminars where they were…

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Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes 150 150 Rex Securities Law

UPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record.  FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…

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Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi

Eduardo “Eddie” Diaz-Former NEXT Financial Broker- Pleads Guilty to Fraud-Sentenced to 70 Months-Ocean Springs, Mississippi 150 150 Rex Securities Law

September 2016 UPDATE–Eduardo Diaz was permanently barred from the securities industry by the US Securities and Exchange Commission (SEC) on 9/7/2016, after pleading guilty to one count of mail fraud.…

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Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints

Anthony Diaz-Former IBN Financial Broker-Discloses 50 Customer Complaints 150 150 Rex Securities Law

Scotrun, PA UPDATE January 2020– Anthony Diaz discloses a total of 50 customer complaints, 3 of which are still pending. UPDATE APRIL 2017-The New Jersey Bureau of Securities revoked Anthony…

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Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA

Rex Securities Law Investigates Kovack Securities Broker Stanley Keyes-Crowley, LA 150 150 Rex Securities Law

February 12, 2016- Crowley, LA Rex Securities Law is investigating Kovack Securities broker Stanley J. Keyes  of Keyes Financial Services in connection with customer complaints and a FINRA regulatory matter in 2011. According to FINRA records …

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Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments

Michael Duch-Kovack Securities Broker-Sanctioned for Sale of Unregistered Oil & Gas Investments 150 150 Rex Securities Law

Aberdeen, South Dakota JUNE 2017 UPDATE–Michael A. Duch discloses two regulatory events and 2 prior customer disputes on his FINRA record. In 3/ 2016 he was fined $2,000 by the…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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Evan Kochav-Former World Equity Group Broker-Indicted

Evan Kochav-Former World Equity Group Broker-Indicted 150 150 Rex Securities Law

March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then…

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