fbpx

Broker Discloses Personal Bankruptcy

Jeffrey L. Eglow- Newbridge Securities Broker-Has Pending Customer Complaints- Boca Raton, FL

Jeffrey L. Eglow- Newbridge Securities Broker-Has Pending Customer Complaints- Boca Raton, FL 150 150 Rex Securities Law

Jeffrey L. Eglow/ Newbridge Securities Investigation August 2022- Boca Raton, FL According to publicly available records, Newbridge Securities Corporation  financial advisor Jeffrey Eglow,   discloses 2 pending and 4 prior customer disputes.…

read more

Gustavo Miramontes-Oppenheimer Broker-Discloses 5 Final and 5 Pending Customer Disputes – Los Angeles, CA

Gustavo Miramontes-Oppenheimer Broker-Discloses 5 Final and 5 Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation March 2022 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 5 prior customer disputes, 5 pending customer…

read more

Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA

Robin Platt Investigation-Subject of Million Dollar Suit Over Northstar Financial Services -Covington, LA 150 150 Rex Securities Law

Robin Platt Investigation November 2021-Covington, LA According to FINRA records  Robin V. Platt, a financial advisor employed as a registered broker by Hancock Whitney Investment Services discloses a multi-million dollar suit…

read more

Jeffrey Meyers -Cetera Financial Advisor-Subject of Customer Suit Over REIT-Overland Park, KS

Jeffrey Meyers -Cetera Financial Advisor-Subject of Customer Suit Over REIT-Overland Park, KS 150 150 Rex Securities Law

Jeffrey G. Meyers Investigation November 2021- Overland Park, KS According to publicly available records, Cetera Advisor Networks  financial advisor Jeffrey G. Meyers,  discloses a pending customer dispute and 5 prior customer…

read more

Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA

Joseph Olheiser -Cabot Lodge Securities Broker- Discloses Regulatory Event and a Termination From Employment- Mountain View, CA 150 150 ER

August 2021 -Mountain View, CA According to publicly recorded records, Joseph D. Olheiser,  a financial advisor currenlty employed by Cabot Lodge Securities,  discloses a regulatory event, a bankruptcy and a…

read more

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX

David Ray Oakes – Prospera Financial Services Broker- Discloses Regulatory Event and a Termination From Employment- Frisco, TX 150 150 ER

August 2021- Frisco, TX According to publicly recorded records, David Ray Oakes,  a financial advisor employed by Prospera Financial Services,  discloses a regulatory event,  and a termination from employment. The…

read more

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Rex Securities Law

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

read more

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Rex Securities Law

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

read more

This site is protected by wp-copyrightpro.com