Failure to Supervise Archives - Page 6 of 119

ER
April 26, 2023
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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT

Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 26, 2023 April 26, 2023

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors, discloses a final regulatory matter resulting in a…

ER
April 19, 2023
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Leonid Yurovsky-Joseph Stone Capital Advisor-Discloses a Regulatory Event and Prior Customer Dispute- New York, NY

Leonid Yurovsky-Joseph Stone Capital Advisor-Discloses a Regulatory Event and Prior Customer Dispute- New York, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 19, 2023 April 19, 2023

Leonid Yurovsky Investigation April 2023– New York, NY According to publicly available records, Leonid Yurovsky, a broker for Joseph Stone Capital, discloses a final regulatory matter resulting in a 5 month…

Rex Securities Law
April 19, 2023
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Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe

Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 19, 2023 April 19, 2023

Darryl Cohen-Misappropriation From NBA Player Accounts April 2023-Westlake Village, C A The FINRA records of Darryl Cohen, a former stock broker who was last employed in the industry by Morgan Stanley…

ER
April 18, 2023
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Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO

Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 April 18, 2023

Suzanne Charrin Investigation April 2023-Greenwood, CO According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services, discloses a final regulatory matter resulting in a…

ER
April 18, 2023
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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA

Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 April 18, 2023

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…

ER
April 18, 2023
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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX

Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 April 18, 2023

Christine Warner Investigation April 2023-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter. The Financial Industry Regulatory Authority (FINRA) is…

ER
April 10, 2023
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Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ

Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 10, 2023 June 9, 2023

Caz Craffy Investigation June 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management, discloses a final regulatory matter resulting in a…

ER
April 10, 2023
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Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL

Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 10, 2023 April 10, 2023

Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities, discloses a final regulatory matter resulting in a…

ER
April 10, 2023
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Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA

Don Kowalsky- Cambridge Investment Research Broker-Discloses Disputes – Atlanta, GA http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 10, 2023 April 10, 2023

Donald Kowalsky Investigation April 2023- Atlanta, GA The FINRA records of Donald Kowalsky , a Cambridge Investment Research, Inc. broker discloses 3 prior customer disputes and a pending customer dispute. The…