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Fraud

William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Rex Securities Law

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA
Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

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Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX
Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX 150 150 Rex Securities Law

Mark Kemp Investigation October 2022 – Corpus Christi, Texas According to publicly available records Mark A. Kemp  (CRD#2057200) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp. ,  discloses a prior regulatory…

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Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX
Austin Based Swiftarc Capital Has Registration Revoked by Texas Securities Regulator-Austin, TX 150 150 Rex Securities Law

Swiftarc Capital & Siddharth Jawahar  Accused of Fraud June 2022- Austin, TX  On June 7, 2022, the Texas State Securities Board (TSSB) entered an order revoking the registration of Swiftarc…

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Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL
Anthony Prieto – Former Royal Alliance Broker-Discloses Pending Securities & Exchange Commission Suit-Tampa, FL 150 150 ER

Anthony Frank Prieto Investigation June 2022-Tampa, FL According to publicly available records Anthony Frank Prieto, a currently unregistered broker who last worked for  Royal Alliance Associates, Inc.,  discloses a pending United…

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Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Rex Securities Law

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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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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Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.
Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…

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Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA
Eric Hollifield Investigation-Former LPL Financial Advisor Subject of $1.24 Million Suit-Ducala, GA 150 150 ER

Eric Hollifield Investigation November 2021-Ducala, GA According to FINRA records  Eric S. Hollifield, an unregistered financial advisor previously employed by LPL Financial discloses a multi-million dollar suit by a customer…

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