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Girard Securities

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York

Sarah Komischke-Former Raymond James Advisor-Subject of Two Customer Suits-New York 150 150 Rex Securities Law

Xiao Qin (Sarah) Komischke Investigation November 2021- New York, NY According to publicly available records, former Raymond James  financial advisor Xiao Qin “Sarah” Komischke,   is the subject of two pending…

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James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI

James Parrelly-Former Investment Planners Broker- Discloses 3 Regulatory Events, 7 Final Customer Disputes, 1 Pending Customer Dispute and a Termination-Dearborn, MI 150 150 Rex Securities Law

July 2021- Dearborn, MI According to publicly available records James Parrelly (CRD#728368), an unregistered broker who last worked for Investment Planners, Inc.,  discloses 3 regulatory events,  7 final customer disputes,…

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Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT

Stanley Secor-Former Cetera Financial Advisor-Permanently Barred from FINRA-Discloses, Investigation and Termination-Salt Lake City, UT 150 150 Rex Securities Law

October 2020- Salt Lake City, UT According to publicly available records, former Cetera Advisor Networks,  financial advisor Stanley B. Secor,  has been barred from the securities industry by  FINRA and…

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Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Rex Securities Law

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Rex Securities Law

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

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Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge 150 150 Rex Securities Law

Greenwood, CO According to FINRA records,  Michael M. Hurtgen ,   a stock broker currently  employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Rex Securities Law

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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Losses on RCS Capital (RCAP) ? Recovery Options for Investors.

Losses on RCS Capital (RCAP) ? Recovery Options for Investors. 150 150 Rex Securities Law

December 3, 2015 RCS Capital Corp. (RCAP) was trading at over $38 in April 2014. At the time of this writing it is trading for 43 cents. Investors who have…

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David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Rex Securities Law

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

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