May 2016-South Norwalk, CT 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…
read moreUPDATE June 2016–Pranav Patel named in civil action seeking damages related to sale of ForceField Energy, Inc. Follow this link for more information. May 2016-Boca Raton, FL The Financial Industry Regulatory…
read moreMAY 2019 UPDATE–Gabriel Block found guilty of unethical and dishonest practices, fined $750,000 by NJ regulators and barred from securities industry by FINRA. See this for details. May 2016- Red Bank, NJ…
read moreChesterfield, MO Rex Securities Law is investigating VSR Financial Services broker Robert B. Hardcastle in connection with the sale of fixed annuities, mutual funds, equities, limited partnerships, direct investments in oil & gas, and…
read moreNovember 13, 2015-Melville NY Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Zachary T. Bader. Zachary Bader , entered into a Letter…
read moreJune 2, 2015-Boca Raton, FL David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…
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