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Securities America

John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ
John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ 150 150 Rex Securities Law

May 2017- Flagstaff, AZ The FINRA records  of John Kolody, Jr. ,  a  stockbroker who is currently employed by  Securities America   disclose a pending  customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute
Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

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Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes
Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes 150 150 Rex Securities Law

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz  , a former stock broker employed by  Securities America  , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

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Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing
Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing 150 150 Rex Securities Law

July 2016- Boynton Beach, Florida The FINRA records of Pamela Posey  , a stock broker who formerly worked for  Securities America, disclose  a pending financial event and  3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…

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Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX
Matthew Bell-Former WFG Investments Broker- Discloses 46 Customer Complaints-Pleads Guilty on Fraud Charges-San Antonio, TX 150 150 Rex Securities Law

UPDATE MAY 2017 March 8, 2015- San Antonio, Texas The Financial Industry Regulatory Authority (FINRA) reports that Matthew A. Bell , 47 of Boerne, TX, a broker who formerly worked…

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Securities America Fined $250,000 by Regulators- Coral Springs, FL
Securities America Fined $250,000 by Regulators- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Securities America entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from March 2009 through…

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Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL
Securities America Broker Has Over 30 Customer Disputes On FINRA Record- Coral Springs, FL 150 150 Rex Securities Law

February 23, 2016- Coral Springs, FL Stuart Horowitz entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between February 2009 and…

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Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers
Senator Elizabeth Warren Criticizes Wall Street For Inadequately Policing Stock Brokers 150 150 Rex Securities Law

March 3, 2016-Washington, DC The Investment News reported that Massachusetts Senator Elizabeth Warren raised doubts during a Senate banking subcommittee hearing about whether FINRA can adequately police itself. Wa During…

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Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas
Ricky Moore-Sagepoint Financial Broker-Discloses Regulatory Matter- Angleton, Texas 150 150 Rex Securities Law

Angleton, TX December 31, 2015 The Financial Industry Regulatory Authority  (FINRA) filed a complaint against stockbroker Ricky Randon Moore, alleging that while working for Commonwealth Financial Network in Angleton, Texas,…

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