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Broker Disclosing Outstanding Liens/Judgments

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA

Primex Broker Jeffrey S. Cederberg Discloses Sanction -San Luis Obispo, CA 150 150 Rex Securities Law

San Luis Obispo, CA UPDATE JULY 2017-In April 2017, Jeffrey Cederberg was fined $5,000 and suspended for four months by FINRA to resolve allegations that he failed to timely amend…

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James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ

James F. Fosbre IV-Former United Planners Broker-Discloses Customer Dispute, Termination From Employment-Bayville, NJ 150 150 Rex Securities Law

January 2020-Bayville, New Jersey According to FINRA records,  James F. Fosbre, IV ,  a stockbroker  who formerly worked for United Planners Financial Services ,  discloses a prior final customer dispute , a termination from employment…

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Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension

Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Rex Securities Law

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ

Ralph B. Marra-Former Morgan Stanley Broker-Discloses Two Pending Customer Disputes-Red Bank, NJ 150 150 Rex Securities Law

Red Bank, New Jersey UPDATE July 2016–FINRA records disclose that Ralph B. Marra has an outstanding Internal Revenue Service levy at the court in Freehold New Jersey, in the amount…

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Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens

Robert L. Rosenstein-Moody Capital Solutions Broker-Discloses Judgements/Liens 150 150 Rex Securities Law

Dawsonville, Georgia According to FINRA records,  Robert L. Rosenstein ,   a stock broker  formerly employed by Ladenburg, Thalmann & Co. , discloses the discharge from a Chapter 7 bankruptcy in 2012  and 5 pending judgment/liens. He is…

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Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record

Johnathan W. McHale-Former PHX Financial Broker-Makes Numersous Diclosures On FINRA Record 150 150 Rex Securities Law

New York According to FINRA records,  Johnathan W. McHale ,   a stock broker  formerly employed by PHX Financial , discloses seven final customer disputes, a termination and 7 pending judgment/liens. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY

Francesco A. Scarso-First Standard Financial Broker-Discloses Pending Customer Dispute-NY 150 150 Rex Securities Law

New York MAY 2017 UPDATE–Francesco Scarso was permanently barred from the securities industry in 2/2017 for failing to respond to a request for information in connection with an investigation.  …

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Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator

Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator 150 150 Rex Securities Law

Odessa, Texas According to FINRA records, Noe Garcia, Sr. ,  a former investment company products and variable contracts representative for State Farm VP Management  from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…

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Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry

Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry 150 150 Rex Securities Law

Little Rock, Arkansas According to FINRA records, Danny M. Thomas ,  a broker who worked for State Farm VP Management  from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…

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