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Stockbroker Discharged

Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas

Charles D. Burchard-Former Allstate Finanical Advisor- Barred From Securities Industry by Regulator-Spring, Texas 150 150 Rex Securities Law

November 2020- Spring, TX According to publicly available records  Charles Don Burchard , a former stockbroker who last worked for   Allstate Financial Services ,  discloses that he was recently permanently…

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Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL

Stefan Pastor-Former Raymond James Broker-Barred From Securities Industry-Ft. Lauderdale, FL 150 150 Rex Securities Law

October 2020- Hollywood, FL According to publicly available records.  Stefan Anton Pastor, (CRD#5141819), a  former stockbroker who last worked for Raymond James Financial Services, Inc.,  discloses a regulatory event, 2…

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Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI

Edward Earl Matthes-Former Mutual of Omaha Investment Services, Inc. Broker-Barred from Securities Industry for Alleged Theft-Oconomowoc, WI 150 150 Rex Securities Law

October 2020- Oconomowoc, WI According to publicly available records, former Mutual of Omaha Investor Services, Inc.,   financial advisor Edward Earl Matthes ,  discloses 5 regulatory events, a civil event, 15 prior…

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Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Rex Securities Law

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Rex Securities Law

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY

Jovannie Aquino-Former Spartan Capital Securities Broker- Is Barred and Discloses Regulatory Events, Customer Disputes and a Termination-New York, NY 150 150 Rex Securities Law

June 2020- New York, NY According to publicly available records Jovannie Aquino (CRD#4876661), a  former stockbroker who last worked for Spartan Capital Securities,  discloses a regulatory event, a civil event,…

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Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX

Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX 150 150 Rex Securities Law

April 2020- Houston, TX The FINRA records of Jesse O. McGuire, a broker previously employed  by  J.P. Morgan Chase Bank, disclose  a regulatory event resulting in his bar from the securities…

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Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX

Anthony Vaccaro, Jr.- Former Raymond James Broker-Discloses Regulatory Event & Termination-Dallas, TX 150 150 Rex Securities Law

April 2020-Dallas, TX According to publicly available records of Anthony F. Vaccaro, Jr. (CRD#3139011) ,  a  former stockbroker who last worked for Raymond James & Associates, Inc.   discloses  a regulatory event…

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Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX

Ernie Garcia-Former Fidelity Brokerage Services Broker-Barred From FINRA- Discloses Regulatory Event and Termination-Westlake, TX 150 150 Rex Securities Law

April 2020- Westlake, TX The FINRA records of Ernie Garcia, a broker previously employed  by  Fidelity Brokerage Services, Inc. , disclose  a regulatory event resulting in his bar from the securities industry and…

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