David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records, David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…
read moreJanuary 2020-San Marino, CA According to publicly available records of Robert Russel Tweed (CRD#2339324) , a former stockbroker who last worked for Cabot Lodge Securities, discloses 1 regulatory event, a pending…
read moreJune 2019 UPDATE–Dallas, TX We are currently pursuing FINRA arbitration claims on behalf of more than 20 individuals who were were customers of Dexter Thomas Financial Services. These individuals are…
read moreMay 2019 Litigation UPDATE–Follow this link for the latest on the Dexter Thomas litigation. If you made a claim for losses that was denied by Mr. Thomas’ former employer, call…
read moreFebruary 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…
read moreSarasota, Florida Rex Securities Law is investigating former VSR Financial Services broker Gary D. Moore in connection with the sale of limited partnerships, promissory notes and real estate securities during the time he was employed…
read moreMarch 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…
read moreAugust 25, 2015- El Segundo, California National Planning Corporation , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that from…
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