unauthorized trading Archives - Page 5 of 6

Rex Securities Law
June 22, 2016
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Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination

Achilleas Psihudakis-Former Merril Lynch Broker-Discloses Termination 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 June 22, 2016 June 22, 2016

New York According to FINRA records, Achilleas Psihudakis, a stockbroker who formerly worked for Merrill Lynch , discloses a termination and two prior final financial disclosures. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

Rex Securities Law
June 13, 2016
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Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 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 June 13, 2016 October 6, 2022

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records, Brent Van Lott , a stock broker who is not currently and who was last employed by MHL Investments , discloses a regulatory event,…

Rex Securities Law
June 6, 2016
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Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute

Maria Fan-Former Wilmington Capital Broker-Discloses Customer Dispute 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 June 6, 2016 June 6, 2016

New York According to FINRA records, Maria Fan, a stockbroker who most recently worked for Wilmington Capital Securities, but is not currently registered with any firm, discloses a currently pending customer dispute and 2 prior…

Rex Securities Law
June 6, 2016
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Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event

Stephen Sullivan-Legend Securities Broker-Discloses Regulatory Event 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 June 6, 2016 August 18, 2018

Melville, New York SEE THIS FOR AUGUST 2018 UPDATE-Sullivan now employed by SW Financial and is subject of $500K customer suit. Original Post June 2016 According to FINRA records, Stephen J.…

Rex Securities Law
May 25, 2016
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Brooke A. Clements Discloses Discharge From Merrill Lynch

Brooke A. Clements Discloses Discharge From Merrill Lynch 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 May 25, 2016 April 20, 2018

Greenwood Village, Colorado According to FINRA records, Brooke A. Clements, a broker who has been registered with FIrst Financial Equity Corp, since 7/2015 , discloses that he was discharged from Merrill Lynch in…

Rex Securities Law
May 25, 2016
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Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 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 May 25, 2016 April 20, 2018

APRIL 2018 UPDATE–See this link. May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky, a broker who has been registered with FIrst Financial Equity Corp, since 6/2015 , discloses a…

Rex Securities Law
May 24, 2016
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Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks

Brandt B. Wendland-Former Feltl & Co. Broker-Named in Customer Arbitration Involving Penny Stocks 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 May 24, 2016 July 11, 2017

Minneapolis, MN According to FINRA records, Brandt B. Wendland , a broker who was registered with Feltl & Company from 3/2004-2/2017 and who is now employed by Advanced Advisor Group , disclose a…

Rex Securities Law
May 16, 2016
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Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS

Thomas G. Gresham-Moloney Securities Broker-Subject Of Numerous Energy Sector Loss Suits- Leawood, KS 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 May 16, 2016 February 28, 2019

February 2019-Leawood, KS 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…

Rex Securities Law
April 19, 2016
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David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston

David A. Allen-Former Avenir Financial Broker-Discloses Customer Disputes-Boston 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 19, 2016 July 8, 2017

April 2016- Boston 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 disputes…