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texas securities attorney

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY

Christopher Orlando- Former Spartan Capital Broker- Barred From Industry by Regulator-Staten Island, NY 150 150 Rex Securities Law

September 2021- Staten Island, NY The FINRA records of  Christopher G. Orlando ,  a  former financial advisor who was last employed by  Spartan Capital Securities disclose a regulatory event and two…

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Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

Arizona Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update

New Mexico Financial Planners-Sanctioned by Certified Financial Planning Board-September 2021 Update 150 150 Rex Securities Law

UPDATED SEPTEMBER 2021 According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of…

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David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Rex Securities Law

August 2021  According to publicly available records David Alan Levine (CRD#4895654) ,  a  former stockbroker  who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

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Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer

Losses on Lightstone Value Plus Real Estate Investment Trust III ? Investment Loss Recovery Lawyer 150 150 Rex Securities Law

August 2021 Did you invest in Lightstone Value Plus REIT III ? Did you Suffer Losses? Lightstone Value Plus REIT III was sold to investors with the promise of a…

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Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX

Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX 150 150 Rex Securities Law

Aug 2021-Houston, TX The FINRA records of  Lyle J. Boudreaux,  a  stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…

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Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ

Dennis James Murphy-Monmouth Capital Broker-Permanently Barred from FINRA- Discloses Customer Disputes and Liens- Red Bank, NJ 150 150 Rex Securities Law

July 2021- Red Bank, NJ According to publicly available records, former Monmouth Capital  financial advisor Dennis James Murphy,  has been barred from FINRA. The Financial Industry Regulatory Authority (FINRA) is the…

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James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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