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Concentrated Positions

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Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico
Manuel Collazo-Insigneo Securities Broker-Discloses $2.3M in Customer Settlements- San Juan, Puerto Rico 150 150 ER

Manuel Collazo Investigation April 2022- San Juan, Puerto Rico The FINRA records of Manuel Diaz Collazo,  a broker with Insigneo Securities who formerly worked for Santander Securities,  discloses 13 prior customer…

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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.…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA
Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA 150 150 Rex Securities Law

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…

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Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA
Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA 150 150 Rex Securities Law

Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of  Austin R. Dutton, Jr. ,  a  stock broker who was previously employed by Newbridge Securities and who is currently employed by American…

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David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Rex Securities Law

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York
Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas
Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Rex Securities Law

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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