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Metlife Securities complaint

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL
Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL 150 150 Rex Securities Law

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and…

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Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Rex Securities Law

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

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Michael J. Smeriglio Customer Paid $2.5 Million Settlement
Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Rex Securities Law

April 2016-Trumbull, CT The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama
Terry Joe Bagwell – Former Pruco Securities Broker-Discloses Numerous Customer Dispute Settlements-Birmingham, Alabama 150 150 Rex Securities Law

 Birmingham, Alabama UPDATE MAY 2017 FINRA records disclose that Terry Joe Bagwell has 3 currently pending and 11 prior final customer disputes.  Bagwell is not currently registered as a stockbroker. He…

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Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton
Morissa Rivo-Signator Investors Broker- Barred From Securities Industry-Boca Raton 150 150 Rex Securities Law

January 15, 2016-Boca Raton, FL Morissa F. Rivo, formerly a broker with Signator Investors,   entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA)…

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Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL
Winston Turner-Former MetLife Broker – Barred from Securities Industry-Sarasota, FL 150 150 Rex Securities Law

UPDATE AUGUST 2016–Winston Turner was permanently barred from the securities industry. According to FINRA records Turner refused to produce significant categories of information requested by FINRA and failed to appear for…

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Brian Berger Facing Wire Fraud Charges-Coral Springs, FL
Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Rex Securities Law

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

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Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry
Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Rex Securities Law

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator
Andre Young -Former Source Capital Stock Broker- Sanctioned by Regulator 150 150 Rex Securities Law

March 19, 2015  – Connecticut Andre Paul Young   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from June 2010 to June…

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