Unsuitable Investments Archives - Rex Securities Law-BLOG

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July 21, 2023
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Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 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 21, 2023 August 16, 2023

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of Curtis “Curt” Wilson, a currently unregistered broker who was previously employed with Securities America , disclose settlement of customer disputes. The…

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July 21, 2023
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David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN

David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN 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 21, 2023 August 16, 2023

David Geake Investigation July 2023 – Whiting, IN According to publicly available records David Geake discloses 11 prior customer disputes settled for more than $2.2 million and pending customer disputes…

ER
July 21, 2023
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Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, 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 21, 2023 August 16, 2023

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records Gregory Sain , a broker who was previously registered with Stifel Nicolaus and is now with Morgan…

Rex Securities Law
July 19, 2023
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Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 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 July 19, 2023 July 19, 2023

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a regulatory event, 9 prior customer disputes and…

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July 19, 2023
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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 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 19, 2023 July 19, 2023

Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…

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July 6, 2023
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G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY

G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, 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 July 6, 2023 July 6, 2023

G. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad , a Coastal Equities, Inc. broker, disclose a 2 prior customer disputes involving alternative investments and tenant in…

Rex Securities Law
June 30, 2023
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Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 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 June 30, 2023 August 17, 2023

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

ER
June 28, 2023
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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, 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 June 28, 2023 June 28, 2023

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records Timothy Connor, of LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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June 28, 2023
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Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 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 28, 2023 June 28, 2023

Angelo Anello Investigation June 2023 – Needham, MA According to publicly available records Angelo Anello , a broker with LPL Financial discloses a prior customer dispute and 2 pending customer disputes. …