fbpx

Adverse Tax Consequences

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute

George Sefanou-Edward Jones Broker-Discloses Settlement of Customer Dispute 150 150 Rex Securities Law

August  2016-Orlando / The Villages, Florida The FINRA records of George Sefanou ,  a  stock broker who is currently employed by Edward Jones  , disclose a recently settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute

Marvin T. Petty-United Planners Broker-Discloses Customer Dispute 150 150 Rex Securities Law

Fort Worth, Texas According to FINRA records,  Marvin T. Petty, Jr. ,  a stockbroker  who works for United Planners Financial Services ,  discloses  a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

read more

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas

Clint Smith-Former Edward Jones Broker-Barred From Securities Industry-Beaumont, Texas 150 150 Rex Securities Law

UPDATED JULY 2018 Lumberton/Beaumont , Texas According to FINRA records,  Wesley “Clint” Smith ,  a stockbroker  who formerly worked  for Edward Jones discloses  a pending customer dispute, 7 prior customer disputes and one final…

read more

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX

Richard M. Ohlhaber-Former Southwest Securities Broker-Discloses Pending Customer Disputes/Regulatory Actions-Grapevine, TX 150 150 Rex Securities Law

June 2016-Grapevine, Texas According to FINRA records,  Richard M. Ohlhaber ,   a stockbroker  who most recently was  employed by FSC Securities Corp., Inc. , discloses two pending customer disputes. He also discloses  3 prior final regulatory events…

read more

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint

Jason L. Freiwald-Waddell & Reed Broker-Discloses $541K Customer Complaint 150 150 Rex Securities Law

Chandler, AZ According to FINRA records, Jason L. Freiwald ,  a broker who is currently registered  with Waddell & Reed , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

read more

This site is protected by wp-copyrightpro.com