Tag Archives: BrokerSubject

Shon E. Flaharty-LPL Financial Broker-Subject of $566K Customer Suit-Clearwater, FL

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. July 2018-Clearwater, Florida The FINRA records of  Shon E. Flaharty,  a  stock broker who is currently employed by LPL Financial,  disclose  a currently pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses … Continue reading

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Richard E. Poston-Former H. Beck Broker-Subject of $500K Customer Dispute Over REITs-Plano, TX

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. May 2018-Plano, Texas According to FINRA records, Richard E. Poston, a broker who is not currently employed in the industry, and who last worked for H. … Continue reading

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John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL

Rex Securities Law-Nationwide representation of investors seeking recovery of losses due to stockbroker malpractice. April 2018 -Boca Raton, FL According to FINRA records, John Eugene Egan ,  a   stockbroker who is currently employed by Newbridge Securities Corp., disclose  a prior regulatory event, … Continue reading

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William M. Robertson-Former First Allied Securities Broker-Subject of $22M Customer Dispute-Deer Park, TX

April 2018- Deer Park, Texas According to FINRA records,  William M. Robertson , a currently unregistered broker who last worked for First Allied Securities, discloses a currently pending dispute in which a customer seeks damages of $22 million. The Financial Industry Regulatory … Continue reading

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Walt Parker-Titan Securities Broker-Subject of Numerous Customer Complaints-Regulatory Investigation-Rowlett, Texas

February 2018-Rowlett, Texas The FINRA records of  Walter (Walt) Parker ,  a  broker with  Titan Securities  disclose 2 pending customer disputes , 5 prior final customer disputes and a pending regulatory investigation. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and … Continue reading

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