fbpx

recover investment losses

PFS Investments Broker Huel Cox Barred by FINRA for Theft

PFS Investments Broker Huel Cox Barred by FINRA for Theft 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

read more

Ex-Westminster Financial Securities Broker Scottie Chitwood Barred for Misrepresenting Annuities

Ex-Westminster Financial Securities Broker Scottie Chitwood Barred for Misrepresenting Annuities 150 150 Rex Securities Law

Estill Springs, Tennessee The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by…

read more

LPL Censured/Fined $60K Excessive Commissions On Bond Transactions

LPL Censured/Fined $60K Excessive Commissions On Bond Transactions 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

read more

VSR Financial Fined $550,000 For Sale of Alternative Investments

VSR Financial Fined $550,000 For Sale of Alternative Investments 150 150 Robert H. Rex

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining the fairness…

read more

Eduardo G Diaz Sued by FINRA & Settles Customer Dispute for $250,000

Eduardo G Diaz Sued by FINRA & Settles Customer Dispute for $250,000 150 150 Rex Securities Law

November 2015 UPDATE-Eduardo Diaz Indicted on fraud charges. See this for more September 2013-Gulfport, Mississippi   Eduardo Guillermo Diaz-Update 1/2014: A customer complaint filed in Jackson County Mississippi court against…

read more

Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft

Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft 150 150 Rex Securities Law

 Pinebrook, New Jersey The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by…

read more

Grifphon and Sasquatch Hedge Fund Managers Accused of Fraud

Grifphon and Sasquatch Hedge Fund Managers Accused of Fraud 150 150 Rex Securities Law

On September 21, 2012, the Securities and Exchange Commission accused Yusaf Jawed, Grifphon Asset Management, Robert Custis, Jacques Nichols, Lyman Bruhn, Pearl Asset Management and Sasquatch Capital Management of securities…

read more

Top 10 Scams Targeting Seniors- National Council on Aging

Top 10 Scams Targeting Seniors- National Council on Aging 150 150 Rex Securities Law

According to a recent article from the NCOA (National Council on Aging) financial scams targeting seniors are so prevalent they are considered “the crime of the 21st century”. The NCOA…

read more