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Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Rex Securities Law

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT
Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT 150 150 Rex Securities Law

April 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) ,  a  former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…

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Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute
Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

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John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M
John R. Stevens-Former Wilbanks Securities Broker-Discloses Customer Disputes Alleging Damages in Excess of $2M 150 150 Rex Securities Law

Grand Junction, CO The FINRA records of John R. Stevens ,  a  stock broker who is currently not licensed and who was last employed by Wilbanks Securities  disclose   2 prior customer disputes, 3 pending…

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Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge
Jamie D. Pope-Former Wilbanks Securities Broker-Discloses Permanent Bar from Industry & Discharge 150 150 Rex Securities Law

August  2016-Winter Park, Florida The FINRA records of Jamie D. Pope ,  a  stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to…

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GWN Securities Agrees to $20K Fine with Florida Securities Regulators
GWN Securities Agrees to $20K Fine with Florida Securities Regulators 150 150 Rex Securities Law

July 2016- Palm Beach Gardens, FL The FINRA records of GWN Securities, Inc. ,  a  stock brokerage firm whose main office is located in Palm Beach Gardens, FL , disclose a recently finalized regulatory event. The Financial…

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David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Rex Securities Law

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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Richard Gomez Investigation Update-Avenir Financial-Legend Securities
Richard Gomez Investigation Update-Avenir Financial-Legend Securities 150 150 Rex Securities Law

April 2016- New York The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Daniel McCourt-Foothills Securities Broker-Update on Investigation
Daniel McCourt-Foothills Securities Broker-Update on Investigation 150 150 Rex Securities Law

April 17, 2016 The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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