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International Assets Advisory complaint

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA 150 150 ER

Robert Alvarez Investigaton November 2021- Metairie, LA According to publicly available records,  Robert Alvarez,  a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute…

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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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Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL 150 150 Rex Securities Law

March 2018 – Boca Raton, FL According to publicly available records Michael Polyakov, (CRD# 734810) ,  a  stockbroker who is currently employed by Westpark Capital ,  disclose 3 prior settled customer disputes . The Financial Industry Regulatory Authority…

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Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment

Donald L. Watson-Former Jeffrey Matthews Broker- Discloses Discharge from Employment 150 150 Rex Securities Law

UPDATE April 2018– IN 3/2017 FINRA permanently barred Donald Lee Watson, Jr. from the securities industry for refusing to cooperate with a FINRA investigation. November 2016-Sarasota, FL The FINRA records of  Donald…

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Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Rex Securities Law

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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