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Tag Archives: BrokerDiscloses
Doug Maurer-Ascendant Alternative Strategies Broker-Discloses $5.975 Million Settlement-Austin, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. January 2019, Austin, TX According to publicly available records Aaron Douglas (Doug) Maurer , a stockbroker registered with Ascendant Alternative Strategies, discloses 5 prior customer disputes that were resolved by cash settlements. The Financial … Continue reading
Posted in Securities Law
Tagged $5.975, Alternative, BrokerDiscloses, Doug, MaurerAscendant, million, SettlementAustin, Strategies
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Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. January 2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004) a stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory Authority (FINRA) is … Continue reading
Posted in Securities Law
Tagged BrokerDiscloses, Customer, Daniel, Davila, InvestmentsAustin, Kaplan, over, Purshe, REIT, Sterling, Suit
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Kris Gaudet-Former Ameritas Broker-Discloses Fraud Investigation & Termination-Cut Off, LA
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. January 2019- Cut Off, LA According to publicly available records Kristian “Kris” M. Gaudet , a former stockbroker who was registered with Ameritas Investment Corp., discloses a pending investigation involving allegations of fraud … Continue reading
Posted in Securities Law
Tagged Ameritas, amp, BrokerDiscloses, fraud, GaudetFormer, Investigation, Kris, TerminationCut
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Michael Rosalia-Worden Capital Management Broker-Discloses Customer Suits-Melville, NY
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. August 2018-Garden City, NY The FINRA records of Michael R. Rosalia , a financial advisor employed by Worden Capital Management disclose 6 prior customer disputes, a bankruptcy filing and 8 outstanding judgment/liens. The Financial Industry Regulatory Authority … Continue reading
Posted in Securities Law
Tagged BrokerDiscloses, Capital, Customer, Management, Michael, RosaliaWorden, SuitsMelville
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Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA
Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr. , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event, a pending customer dispute, 7 prior customer … Continue reading
Posted in Securities Law
Tagged amp, BrokerDiscloses, Customer, EmploymentBeverly, Herbert, Hills, Jr.Former, Numerous, Stockcross, suits, Termination, Voss
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