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26 Mar 2016, 11:04 am by rexsecuritieslaw
The claimant alleged breach of fiduciary duty, churning, misrepresentation, omission of facts, negligence … Continue reading Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators → The post Legend Securities Ordered to Pay Customer $61K by FINRA Arbitrators appeared first on Rex Securities Law-BLOG. [read post]
12 Jan 2016, 8:24 am by rexsecuritieslaw
October 21, 2015-Boca Raton, FL Rex Securities Law is investigating options for recovery for investors who suffered damages in brokerage accounts handled by Jason L. [read post]
11 May 2018, 8:40 am by Rex Securities Law
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. [read post]
17 Apr 2018, 9:30 am by Rex Securities Law
Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. [read post]
24 Jun 2015, 10:51 am by rexsecuritieslaw
June 24, 2015- Rex Securities Law is investigating broker Mark Kaplan on behalf of a retired  widow  who alleges that her account was overly traded resulting in losses. [read post]
28 Jul 2017, 11:21 am by rexsecuritieslaw
In addition the arbitration panel, who found that Wedbush subjected the couple to elder abuse,  awarded punitive damages of over $1 million and … Continue reading Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA → The post Wedbush Securities Ordered to Pay Customer $1.8M For Elder Abuse-Los Angeles, CA appeared first on Rex Securities Law-BLOG. [read post]
19 May 2016, 11:21 am by rexsecuritieslaw
Hernandez-Former Thrivent StockBroker-Barred From Securities Industry appeared first on Rex Securities Law-BLOG. [read post]
30 Mar 2016, 2:21 pm by rexsecuritieslaw
Hopkins has two outstanding Internal Revenue Service liens , one for … Continue reading James Hopkins, Dawson James Securities Broker, Named in Customer Dispute → The post James Hopkins, Dawson James Securities Broker, Named in Customer Dispute appeared first on Rex Securities Law-BLOG. [read post]
10 Jul 2015, 2:02 pm by rexsecuritieslaw
July 10, 2015- Rex Securities Law is investigating former stock broker William “Bill” Tatro who was employed by First Allied Securities from 11/2003-9/2010. [read post]
9 Oct 2016, 12:14 pm by rexsecuritieslaw
In … Continue reading Texas State Securities Board Fines Charles Schwab & Co. $95,000 → The post Texas State Securities Board Fines Charles Schwab & Co. $95,000 appeared first on Rex Securities Law-BLOG. [read post]
10 Apr 2017, 11:27 am by rexsecuritieslaw
FINRA requires brokers and brokerage firms to report customer complaints and disputes … Continue reading Hilltop Securities Discloses Recent Regulatory Events-Dallas, TX → The post Hilltop Securities Discloses Recent Regulatory Events-Dallas, TX appeared first on Rex Securities Law-BLOG. [read post]
19 Jun 2017, 2:59 pm by rexsecuritieslaw
Laws-Former BCG Securities Broker-Discloses Regulatory Investigation-Alpharetta, GA appeared first on Rex Securities Law-BLOG. [read post]