Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. “Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000 advisors will be rolling its eight broker dealers into a new brand, Osaic Wealth, over the next 24 months. The eight broker dealers include: American […] The post Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth appeared first on Rex Securities Law-BLOG ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. 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 […] The post Curt Wilson- Former Securities America/ChangePat ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. David Geake Investigation July 2023 – Whiting, IN According to publicly available records  David Geake discloses 11 prior customer disputes settled for more than $2.2 million and pending customer disputes seeking damages of more than $1.5 million.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires […] The post David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan Stanley, discloses settlements of  2 customer disputes.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires […] The post Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Se ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and 2 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage […] The post Centaurus Broker Atul Makharia Subject of Regulatory ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by Centaurus Financial and formerly a broker with now defunct JP Turner, disclose 3 regulatory events, 35 prior customer disputes and 2 pending customer disputes. The […] The post Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desis ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. G. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad ,  a Coastal Equities, Inc.  broker, disclose a 2 prior customer disputes involving alternative investments and tenant in common investments.. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to […] The post G. Russell Conrad-Coastal Equities Broker-Discloses Two Pri ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. StoneX Financial Investigation July 2023 -Winter Park, FL According to FINRA records, StoneX Financial discloses 60 sanctions imposed by securities regulators in the United States as well as several other countries around the globe. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage […] The post StoneX Financial Discloses Numerous Regulatory Sanctions appeared first on Rex Securities Law-BLOG ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board (TSSB) and ordered to pay restitution to  7 Texas residents who were sold investments in GPB Automotive Portfolio, LP (GPB Auto). According to the TSSB […] The post Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales appeared first on Rex Securities Law-BLOG ..read more

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. “Osaic Wealth” Is The Rebrand for Eight Broker Dealers August 2023 According to recent press, Advisor Group, one of the largest networks of independent broker dealers with more that 11,000 advisors will be rolling its eight broker dealers into a new brand, Osaic Wealth, over the next 24 months. The eight broker dealers include: American […] The post Royal Alliance, Sagepoint, FSC, Woodbury, Triad, Securities America and Others Are Now Osaic Wealth appeared first on Rex Securities Law-BLOG ..read more