recover annuity losses Archives - Rex Securities Law-BLOG

ER
June 27, 2023
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Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN

Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 June 27, 2023

Cynthia Barriera Investigation June 2023 – Knoxville, TN According to publicly available records Cynthia Barreira, a NYLife Securities broker, discloses a pending customer dispute in connection with the purchase of annuities.…

ER
April 3, 2023
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George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC

George W. Fellows, Jr. -Former Merrill Lynch Broker-Discloses Regulatory Event, Pending Customer Dispute and Termination-Washington, DC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

George Fellows Investigation April 2023- Washington, DC The FINRA records of George W. Fellows, Jr., a former Merrill Lynch broker, disclose a regulatory event, a pending customer dispute and a termination.…

Rex Securities Law
March 4, 2019
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Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA

Richard Wesselt-Former O.N. Equity Sales/Sterne Agee Broker-Discloses $10M Customer Dispute-Collegeville, PA 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 4, 2019 April 8, 2020

April 2020 – Collegeville, PA According to publicly available records Richard Michael Wesselt (CRD# 2195569) , a registered stockbroker currently employed by Fortune Financial Services, Inc. disclose 4 pending customer disputes…

Rex Securities Law
April 24, 2017
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Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase

Willbanks Securities Ordered to Pay Customer Over $1M on Annuity Purchase 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 24, 2017 April 24, 2017

April 2017-Salt Lake City, UT An all public, three member FINRA arbitration panel ordered Wilbanks Securities to pay a former customer compensatory damages of $536,720 together with a like amount…

Rex Securities Law
April 5, 2017
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Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas

Kestra Investment Services Discloses Regulatory Fines/ Arbitration Awards-Austin, Texas 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 5, 2017 April 5, 2017

April 2017-Austin, Texas According to publicly available records Kestra Investment Services (formerly NFP ) , (CRD# 42046) , a FINRA registered broker dealer headquartered in Austin, Texas, discloses 10 prior final regulatory events and…

Rex Securities Law
March 27, 2017
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Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-San Antonio, TX

Dion Padilla Investigation-Former NEXT Financial Group Broker-Settles Several Customer Suits Involving Annuities-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 March 27, 2017 May 18, 2019

May 2019 -San Antonio, Texas According to publicly available records Dion Rey Padilla , a stockbroker who formerly worked for NEXT Financial , disclose a prior regulatory suspension and five…

Rex Securities Law
March 1, 2017
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LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 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 1, 2017 March 1, 2017

UPDATE Jan 2017– LPL Financial ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…

Rex Securities Law
November 29, 2016
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Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator

Houston Based Valic Financial Advisors Fined $1.75M by Securities Regulator 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 November 29, 2016 November 29, 2016

November 2016-Houston, Texas The Financial Industry Regulatory Authority (FINRA) fined Valic Financial Advisors (VFA)$1.75 million for conflicts of interest related to the way it compensates brokers selling annuities. FINRA found…

Rex Securities Law
October 26, 2016
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Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales

Daniel Cabrera-BBVA Securities-Discloses Settlement Over Annuity Sales 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 October 26, 2016 October 26, 2016

September 2016-Helotes, Texas The FINRA records of Daniel A. Cabrera, a stockbroker who is currently employed by BBVA Securities disclose a prior customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…