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Stockbroker Discharged

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ

Michael Bressman-Former FCG Advisors Broker- Pleads Guilty to Investment Advisor Fraud-Chatham, NJ 150 150 Rex Securities Law

September 2019- Chatham, NJ According to publicly available records  Michael Bressman ,  a  currently unregistered stockbroker, who was last registered with FCG Advisors,  discloses a pending investigation, a pending civil event,…

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Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ

Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Rex Securities Law

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR

Renee Altamirano-Former LPL Broker-Discloses Regulatory Event and Termination-Hot Springs Village, AR 150 150 Rex Securities Law

May 2019-Hot Springs Village, AR According to publicly available records Renee Valerie Altamirano (CRD#5644156) ,  a  stockbroker who is currently not registered,  discloses a regulatory event and a termination from employment.…

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Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC

Kyusun Kim-Former Independent Financial Group Broker-Barred from FINRA-Discloses 19 Settled Customer Suits- Greenville, SC 150 150 Rex Securities Law

June 2019- Greenville, SC According to publicly available records, former Independent Financial and Sandlapper Securities  financial advisor Kyusun Kim,  discloses 19 settled and 4 pending customer disputes  and a termination…

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Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Rex Securities Law

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

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Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas 150 150 Rex Securities Law

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research  financial advisor Anselmo Contreras, Jr.  discloses a recent regulatory event resulting in his bar from the…

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Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA

Scott Klor-Former LPL Financial Advisor-Discloses Regulatory Suspension and Discharge from Employment-Baton Rouge, LA 150 150 Rex Securities Law

May 2019 – Baton Rouge, LA According to publicly available records, former LPL Financial financial advisor Scott P. Klor discloses a recent regulatory event and a termination from employment. The…

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