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MetLife Securities

Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL

Raymond Velasco, Sr. -Former LPL Financial Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Lisle, IL 150 150 ER

August 2021- Lisle, IL According to publicly available records,  Raymond Velasco, Sr.,  a financial advisor who previously was employed by LPL Financial, discloses a regulatory event , a customer dispute and…

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Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX

Investigation of Former Merrill Lynch Broker Forrest Jones & Knight Nguyen Investments -Conroe, TX 150 150 Rex Securities Law

July 2021- Conroe, TX  We are investigating former Merrill Lynch financial advisor Forrest Andrew Jones & a now defunct investment advisory firm Knight Nguyen Investments. According to publicly available records, Forrest Jones discloses…

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Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA

Michael Rappa-Former Foresters Equity Services Broker Barred from FINRA-Discloses Regulatory Event and Two Pending Customer Disputes-Rocklin, CA 150 150 Rex Securities Law

June 2020- San Diego, CA The FINRA records of Michael Rappa, a broker previously employed  by  Foresters Equity Services,  , disclose  a regulatory event resulting in his bar from the securities industry…

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William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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