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FINRA

David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI
David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI 150 150 Rex Securities Law

March 2019- Grand Rapids, MI The FINRA records of  David Carl Ferwerda ,  a  former stock broker who is not currently registered and who was last employed by Signator Investors ,  disclose  a regulatory bar from the…

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Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL
Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL 150 150 Rex Securities Law

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom,  a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3  regulatory events and a currently…

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Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL
Thomas Meier – Former Morgan Stanley Broker- Discloses 14 Customer Disputes- Miami, FL 150 150 Rex Securities Law

January 2020 – Miami, FL According to publicly available records Thomas Alan Meier  (CRD#1146044) ,  a  former stockbroker who was last registered with Morgan Stanley,  disclose a Regulatory Event and 14 prior customer disputes.…

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Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL
Alex G. Herrera-Former UBS Broker-Accused of Stealing Client Money in $7M Investor Suit-Coral Gables, FL 150 150 Rex Securities Law

March 2019 – Coral Gables, FL According to FINRA records,  Alex Gerardo Herrera,   a former stockbroker who  last worked for USB Financial Services,  discloses 2 prior regulatory events , a current customer dispute…

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Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL
Trustmont Financial Group Ordered to Pay Customer $1M-Tampa, FL 150 150 Rex Securities Law

August 2018-Tampa, Florida A panel of FINRA arbitrators ordered Trustmont Financial Group to pay a former customer more than one million dollars for violations of Florida securities laws, breach of…

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Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA
Herbert Voss, Jr.-Former StockCross Broker-Discloses Numerous Customer Suits & Termination From Employment-Beverly Hills, CA 150 150 Rex Securities Law

June 2018- Beverly Hills, CA The FINRA records of Herbert Voss, Jr.  , a former stock broker who was last employed by StockCross Financial Services , disclose a regulatory event,  a pending customer dispute, 7…

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Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX
Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX 150 150 Rex Securities Law

June 2018- Plano, TX The FINRA records of Michael S. Christians  , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…

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Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island
Brian Decker-Former Worden Capital Mgmt Broker-Arrested for Securities Fraud-Staten Island 150 150 Rex Securities Law

November 2019 UPDATE -Staten Island In 95/2018 Decker was permanently barred from the industry by FINRA to resolve allegations that he failed to cooperate with a FINRA investigation. The Toledo…

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Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ
Wayne I. Miller-Former Accelerated Capital Group Broker-Discloses Numerous Customer Suits-Scottsdale, AZ 150 150 Rex Securities Law

May 2018-Scottsdale, AZ The FINRA records of  Wayne I. Miller ,  a  stockbroker who formerly worked for Accelerated Capital Group disclose a pending regulatory suspension, a pending customer dispute and 2 prior customer…

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