Stockbroker Discharged Archives - Page 3 of 38

ER
March 5, 2023
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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 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 March 5, 2023 May 3, 2023

Robert Turner Investigation March 2023- Waco, Texas According to publicly available records Robert Earl Turner, Jr. , (CRD# 2113736 ), a stockbroker who formerly worked with UBS Financial Services, Inc. discloses 7…

ER
February 28, 2023
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Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, TX

Ernest Frerking – Former Merrill Lynch Broker-Barred From Securities Industry by Regulators, Discloses $200K Settlement -Austin, 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 February 28, 2023 February 28, 2023

Ernest Frerking Investigation February 2023- Austin, TX According to publicly availble records Ernest Frerking, a former broker who last worked for Merrill Lynch, discloses a final regulatory matter resulting in a permanent…

ER
February 27, 2023
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Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, TX

Michael Witt -Former Morgan Stanley Broker-Subject of 2 Regulatory Events and Termination-Plano, 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 February 27, 2023 February 27, 2023

Michael Witt Investigation February 20, 2023- Plano, TX The FINRA records of Michael Witt, an Ameriprise Financial Services broker, disclose 2 regulatory events and a termination. The Financial Industry Regulatory Authority (FINRA) is…

ER
February 27, 2023
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Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, TX

Dustin Goss – Former Park Avenue Securities Broker -Barred From Securities Industry by Regulators -Austin, 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 February 27, 2023 February 27, 2023

Dustin Goss Investigation February 2023 – Austin, TX According to publicly available records Dustin Goss, a former broker who last worked for Park Avenue Services, discloses a final regulatory matter resulting…

ER
February 27, 2023
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Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, TX

Doug McKelvey – Former Morgan Stanely Broker-Barred From Securities Industry by Regulators-Discloses a $1.4M Settlement -Southlake, 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 February 27, 2023 June 19, 2023

Doug McKelvey Investigation June 2023-Southlake, TX According to publicly available records Doug McKelvey,a former broker who last worked for Morgan Stanley, discloses a final regulatory matter resulting in a permanent bar…

ER
February 27, 2023
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Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-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 February 27, 2023 February 27, 2023

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of Micheal Gianneti, a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

Rex Securities Law
October 6, 2022
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LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 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 October 6, 2022 October 6, 2022

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

ER
September 29, 2022
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Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO

Michael Reither – Former Dominion Investor Broker- Discloses Regulatory Event and Termination -St. Louis, MO 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 September 29, 2022 September 29, 2022

Michael Reither Investigation September 2022- St. Louis, MO According to publicly available records, Michael Earl Reither, who is not currently registered with any FINRA registered broker dealer , discloses a regulatory event,…

Rex Securities Law
September 23, 2022
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Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, 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 September 23, 2022 September 23, 2022

Doug McKelvey Investigation September 2022-Southlake, TX According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley , discloses a recent regulatory matter, a prior…