Finra Investigation of Stockbroker Archives - Page 6 of 63

ER
March 27, 2023
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Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – 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 March 27, 2023 March 27, 2023

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

ER
March 27, 2023
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Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, 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 March 27, 2023 March 27, 2023

Monica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…

ER
March 22, 2023
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Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, 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 March 22, 2023 March 22, 2023

Justin Anderson Investigation March 2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services, discloses a final regulatory matter resulting…

ER
March 14, 2023
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Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, TX

Stephen Wenske- Former Edward Jones Broker- Discloses a Regulatory Event and a Termination from Employment-Houston, 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 March 14, 2023 March 14, 2023

Stephen Wenske Investigation March 2023- Roanoke, TX According to publicly available records Stephen Wenske, a broker who last worked for Edward Jones, discloses a final regulatory event that resulted in his…

Rex Securities Law
March 13, 2023
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Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders

Webull Financial Fined $3 Million – Failure to Exercise Due Diligence When Approving Option Traders 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 March 13, 2023 March 13, 2023

Webull Financial LLC Investigation March 2023 – New York According to publicly obtained regulatory records, Webull Financial LLC , a FINRA registered broker dealer that offers low cost, self directed trading…

ER
March 8, 2023
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Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, FL

Gerardo Castillo- Insigneo Securities Broker- Discloses Settlement of Customer Suit-Miami, 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 March 8, 2023 March 8, 2023

Gerardo Castillo Investigation March 2023-Miami, FL According to publicly available records Gerardo I. Castillo, a broker who currently is working with Insigneo Services and before that, Wells Fargo, discloses settlement of…

ER
February 28, 2023
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Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, TX

Annetta Marie Box – Former Cambridge Investment Research Broker-Barred From Securities Industry by Regulators -Dallas, 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 February 28, 2023 February 28, 2023

Annetta Marie Box Investigation February 2023- Dallas, TX According to publicly available records Annetta Marie Box,a former broker who last worked for Cambridge Investment Research, discloses a final regulatory matter resulting…

ER
February 28, 2023
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Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, TX

Raymond Jennison, Jr.- Former First Canterbury Securities Broker-Barred From Securities Industry by Regulators -Wichita Falls, 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 February 28, 2023 February 28, 2023

Raymond Jennison, Jr. Investigation February 2023-Dallas, TX According to publicly available records, Raymond Jennison, Jr. a former broker who last worked for First Canterbury Securities, Inc., discloses a final regulatory matter…

ER
February 28, 2023
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Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, TX

Darrell Roberts – Former Spire Securities Broker-Barred From Securities Industry by Regulators -Richardson, 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 February 28, 2023 February 28, 2023

Darrell Roberts Investigation February 2023 – Richardson, TX According to publicly available records Darrell Patrick Roberts, a former broker who last worked for Spire Securities, discloses a final regulatory matter resulting…