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Wells Fargo

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds

Richard Ohrn-Boca Raton Broker Sanctioned by Securities Regulators for Converting Customer Funds 150 150 Rex Securities Law

April 28, 2015-Boca Raton, FL Richard Winsor Ohrn ,  was named in an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while he was…

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Florida Stockbroker Lost While Fishing at Sea Staged Disappearance

Florida Stockbroker Lost While Fishing at Sea Staged Disappearance 150 150 Rex Securities Law

April 13, 2015- Boca Raton, FL The Sun Sentinel reports that Richard Ohrn, 44, a former local stock broker who disappeared while fishing in the Atlantic ocean a few weeks back, has…

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South Carolina Regulators Revoke Registration of Broker William B. Guido

South Carolina Regulators Revoke Registration of Broker William B. Guido 150 150 Rex Securities Law

March 11, 2015-Mount Pleasant, South Carolina The Securities Commissioner of South Carolina revoked, by default, the registration of William Benton Guido permanently barring him from engaging in the securities business…

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Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry

Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry 150 150 Rex Securities Law

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  Nougzust failed to provide…

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Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator

Joseph DiRago-San Antonio StockBroker Sanctioned by Securities Regulator 150 150 Rex Securities Law

March 19, 2015- San Antonio, Texas  Joseph DiRago, Jr.    entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  between June 2011…

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