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Rex Securities Law-BLOG

Nationwide representation of victims of stockbroker fraud and the malpractice of investment professionals.

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX
Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX 150 150 Rex Securities Law

June 2020- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and 6 pending IRS liens.…

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Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX
Matthew King-Cambridge Investment Research Broker- Terminated From Employment-Corpus Christi, TX 150 150 Rex Securities Law

June 2020- Corpus Christi, TX The FINRA records of Matthew J. King, a broker currently employed  by Cambridge Investment Research Advisors, Inc. , disclose a termination from employment. The Financial Industry Regulatory Authority…

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Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX
Joel “Kirk” Corbin-Prospera Financial Services Broker-Discloses Customer Dispute- Lubbock, TX 150 150 Rex Securities Law

June 2020 -Lubbock, TX The FINRA records of Joel “Kirk” Corbin, a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX
Tom “Bud” Arnett, Jr.- Prospera Financial Services Broker- Discloses Settled Customer Dispute-Lubbock, TX 150 150 Rex Securities Law

June 2020 -Lubbock, TX The FINRA records of Tom “Bud” Arnett, Jr. , a stockbroker registered with Prospera Financial Services, Inc. , disclose a settled customer dispute. The Financial Industry Regulatory Authority…

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Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX
Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX 150 150 Rex Securities Law

June 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson  , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX
Jeffrey Glenn-BBVA Securities Broker-Discloses Customer Dispute-San Antonio, TX 150 150 Rex Securities Law

June 2020 -San Antonio, TX The FINRA records of Jeffrey N. Glenn  , a stockbroker registered with BBVA Securities, Inc. , disclose a customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX
Craig A. Foreman-Edward Jones Broker-Discloses Pending Customer Dispute-Odessa, TX 150 150 Rex Securities Law

June 2020 -Odessa, TX The FINRA records of Craig Alan Foreman  , a stockbroker registered with Edward Jones disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX
Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX 150 150 Rex Securities Law

April 2020- Houston, TX The FINRA records of Jesse O. McGuire, a broker previously employed  by  J.P. Morgan Chase Bank, disclose  a regulatory event resulting in his bar from the securities…

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Shelley Eddy-Peachcap Securities Broker-Discloses 5 Pending Customer Disputes- Atlanta, GA
Shelley Eddy-Peachcap Securities Broker-Discloses 5 Pending Customer Disputes- Atlanta, GA 150 150 Rex Securities Law

June 2020 -Atlanta, GA The FINRA records of Shelley L. Eddy  , a stockbroker registered with Peachcap Securities, Inc. , disclose 5 pending customer disputes and 2 prior customer disputes. The Financial Industry Regulatory…

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