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Investors Capital Corp complaints

Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL
Donnie E. Ingram-Former Centaurus Broker-Discloses Customer Disputes & Regulatory Investigations -WInter Haven, FL 150 150 Rex Securities Law

Donnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) ,  a  stockbroker who previously worked for  Centaurus Financial Inc. ,  disclose 9  prior customer disputes…

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James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX
James Franklin – Former Investors Capital Corp. Broker- Discloses Customer Dispute- Houston, TX 150 150 Rex Securities Law

June 2017 – Houston, TX According to publicly available records James A. Franklin  (CRD#4799613) ,  a  stockbroker who currently is employed by 1st Global Capital Corp. ,  discloses a pending customer dispute. The Financial…

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Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO.
Bernard Breton -Cetera Advisors Broker-Discloses Pending Customer Dispute- Parker, CO. 150 150 Rex Securities Law

April 2017-Parker, CO According to publicly available records Bernard A. Breton, (CRD#2030660) ,  a  stockbroker who is currently registered with  Cetera Advisors, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH
John G. Chess – Former Investors Capital Corp. Broker- Discloses Customer Disputes – Columbus, OH 150 150 Rex Securities Law

May 2017- Columbus, OH According to publicly available records John G. Chess , (CRD#4812430) ,  a  stockbroker who  was previously registered with Investors Capital Corp. discloses two prior final  customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI
Alan M. Cobb – Former Investors Capital Corp. Broker- Discloses Customer Dispute-Providence, RI 150 150 Rex Securities Law

May 2017-Providence, RI According to publicly available records Alan M. Cobb, (CRD#49158) ,  a  stockbroker who  was previously registered with Investors Capital Corp., discloses a prior final customer dispute. The Financial Industry Regulatory Authority…

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Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL
Gerard Figari of Loyd Capital Performance Partners -Discloses Settlement of Customer Disputes-Stuart, FL 150 150 Rex Securities Law

April 2017- Stuart, FL According to publicly available records Gerard G. Figari, (CRD#1343962) ,  a  stockbroker who was previously registered with Investors Capital Corp. discloses 5 prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is…

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Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK
Kent Argue – Former Investors Capital Broker- Discloses Customer Dispute – TULSA, OK 150 150 Rex Securities Law

April 2017- Tulsa, OK According to publicly available records Kent L. Argue, (CRD#4482886) ,  a  stockbroker who is currently not registered  and was previously registered with Investors Capital Corp. discloses a settled customer dispute. The…

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Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA
Daniel Vasquez, Sr. – Former Investor’s Capital Broker – Discloses Customer Disputes & Regulatory Event – Irvine, CA 150 150 Rex Securities Law

April 2017-Irvine, CA  According to publicly available records Daniel Vasquez, Sr. , (CRD#3141463) ,  a  stockbroker who is currently not registered, but previously worked for Cetera Advisors and Investors Capital Corp ,  discloses two final regulatory…

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Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas
Tony Morris-Former Investors Capital Corp. Broker-Discloses Customer Dispute-El Paso, Texas 150 150 Rex Securities Law

March 2019- El Paso, Texas According to publicly available records Anthony  “Tony” R. Morris , (CRD# 2849581) ,  a  stockbroker who previously worked for Investors Capital Corp and who is currently employed by Lincoln…

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