Outside Business Activities Archives - Page 2 of 10

ER
July 5, 2022
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Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, 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 July 5, 2022 July 5, 2022

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray , a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

ER
July 5, 2022
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Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ 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 July 5, 2022 July 5, 2022

Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services, discloses a final regulatory matter resulting in a…

ER
July 5, 2022
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Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, TX

Robert Mooney- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators -Forney, 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 July 5, 2022 July 5, 2022

Robert Mooney Investigation July 2022-Forney, TX According to publicly available records Robert Wayne Mooney a currently unregistered broker who last worked for Allstate Financial Services, discloses a final regulatory matter resulting…

ER
June 13, 2022
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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX

Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, 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 June 13, 2022 August 29, 2022

Travis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest), discloses a…

Rex Securities Law
May 11, 2022
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Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 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 May 11, 2022 May 11, 2022

Michael J. Giannetti Investigation May 2022-McKinney , TX According to publicly available records Michael J. Giannetti, a former broker who last worked for MML Investors Services, discloses a final regulatory matter resulting…

ER
May 4, 2022
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John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- 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 May 4, 2022 May 4, 2022

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto, a currently unregistered broker who was last employed by Worden Capital Management, disclose 2 regulatory events and 3…

Rex Securities Law
May 4, 2022
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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 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 May 4, 2022 May 4, 2022

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…

ER
May 4, 2022
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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 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 May 4, 2022 May 4, 2022

Glenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of Glenn Edward Brandon, a former broker who was last employed by BB&T Securities disclose a final regulatory matter resulting…

ER
April 5, 2022
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Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL

Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- 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 April 5, 2022 April 5, 2022

Jorge A. Sonville Investigation April 2022- Miami, FL The FINRA records of Jorge Sonville, a broker with Insigneo Securities who formerly worked for Merrill Lynch, disclose a pending customer dispute and…