Category Archives: Securities Law

Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. September 2018 – Ft. Worth, Texas According to publicly available records  William E. Riley, Jr. ,  a  currently unregistered stockbroker, who was last registered with Silver Oak Securities ,  disclose a pending customer dispute, 4 prior customer disputes and a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage … Continue reading Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX → The post Bill Riley-Former Silver Oaks Securities Broker-Subject of $600K Customer Suit-Ft. Worth, TX appeared first on Rex Securities Law BLOG... To continue reading this legal news please click Read full information...

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Plaintiff’s Sexual Assault Complaint Asserts Claims Against Michigan State’s Board of Trustees

Stories of alleged sexual misconduct have dominated recent headlines.  Allegations of sexual assault raised against Supreme Court Brett Kavanagh have been the lead story all week, and there has also been extensive coverage of the criminal sentencing of Bill Cosby for sexual assault. These stories arise as part of a broader series of revelations of sexual misconduct involving media figures, politicians, and corporate executives.   In the midst of this depressing litany one of the most disturbing sets of disclosures has been the revelations of the sexual misconduct involving former Michigan State University and U.S. Olympic gymnastics team physician Larry Nassar. Allegations relating to Nassar are back in the news again because of a new lawsuit a former MSU athlete has filed. The plaintiff’s allegations raise a number of issues. As discussed below, the new complaint contains extensive allegations against MSU’s Board of Trustees, underscoring how the….. To continue reading this legal news please click Read full information...

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William Riley: Investor Seeks $600,000 in Complaint over Oil and Gas, Alternative Investments

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 25, 2018 indicate that a current Riley Wealth Advisor and former Texas-based Silver Oak Securities broker/adviser William Riley, who has received resolved or pending customer disputes, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Riley (CRD# 1493287). William Riley has spent 32 years in the securities industry and was most recently registered as a broker with Silver Oak Securities in Fort Worth, Texas (2008-2018); he is currently registered as an investment adviser with Riley Wealth Advisors in Fort Worth, Texas, where he has been registered since 2008. Previous registrations include Raymond James & Associates in Fort Worth, Texas (2002-2008); UBS Painewebber in Weehawken, New Jersey….. To continue reading this legal news please click Read full information...

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Edward Schiavi Terminated From Securities America Over Alleged Compliance Failure

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former New Mexico-based Securities America broker/adviser Edward Schiavi was discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schiavi (CRD# 2032536). Edward Schiavi has spent 26 years in the securities industry and was most recently registered with Securities America in Albuquerque, New Mexico (2013-2018). Previous registrations include Finance 500 in Albuquerque, New Mexico (2010-2013); MetLife Securities in Albuquerque, New Mexico (2009); Southwest Securities in Albuquerque, New Mexico (2008); Merrill Lynch in Albuquerque, New Mexico (1998-2008); Prudential Securities in New York, New York (1997-1998); Rauscher Pierce Refsnes in Dallas, Texas (1994-1997); Painewebber in….. To continue reading this legal news please click Read full information...

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Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. September 2018 – Brookfield, WI According to publicly available records Joel Blumenschein  (CRD#1372334) ,  a  stockbroker who formerly was registered with Freedom Investors Corp. ,  disclose a Regulatory Event and a pending customer dispute which alleges churning. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms … Continue reading Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI → The post Joel Blumenschein – Former Freedom Investors Corp. Broker -Discloses a Regulatory Event and Customer Dispute- Brookfield, WI appeared first on Rex Securities Law BLOG... To continue reading this legal news please click Read full information...

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