securities america complaint Archives - Rex Securities Law-BLOG

ER
April 18, 2023
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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA

Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 18, 2023 April 18, 2023

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc. discloses a regulatory event on her FINRA record. The…

ER
March 29, 2022
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William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX

William “Frank” Richardson Investigation -Former Investacorp Financial Advisor-Subject of Customer Complaints-Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 29, 2022 October 6, 2022

William Frank Richardson Investigation September 2022-Houston, TX The FINRA records of William “Frank” Richardson, Jr. , a stock broker with Avantax Investment Services, disclose 6 prior customer disputes. The Financial…

ER
October 4, 2021
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Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g October 4, 2021 October 4, 2021

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger, a broker who last worked for DMK Advisor Group and prior to that Securities America, …

Rex Securities Law
July 22, 2021
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David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH

David Zuber-Former Securities America Broker- Permanently Barred from FINRA- Independence, OH https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 22, 2021 July 22, 2021

July 2021- Independence, OH According to publicly available records David Zuber (CRD#3239595), a former stockbroker who last worked for Securities America, Inc., has been permanently barred from FINRA. The Financial…

Rex Securities Law
May 21, 2018
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Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY

Hector May-Former Securities America Broker-Investigation Over Missing Client Funds-New City, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 21, 2018 May 26, 2018

May 2018-New City, New York Local press is reporting that Rockland/Orange County businessman and former Securities America stockbroker Hector May is being investigated by federal prosecutors on allegations of stealing…

Rex Securities Law
May 8, 2017
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John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ

John Kolody Jr.-Former Foothill Securities Broker-Discloses Customer Dispute-Flagstaff, AZ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 8, 2017 May 8, 2017

May 2017- Flagstaff, AZ The FINRA records of John Kolody, Jr. , a stockbroker who is currently employed by Securities America disclose a pending customer dispute . The Financial Industry Regulatory Authority (FINRA) is the agency that…

Rex Securities Law
March 6, 2017
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Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 6, 2017 March 6, 2017

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) , a stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

Rex Securities Law
July 18, 2016
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Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes

Stuart Horowitz-Former Securities America Broker-Discloses 37 Customer Disputes https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

July 2016-Coral Springs, Florida The FINRA records of Stuart Horowitz , a former stock broker employed by Securities America , disclose a prior final regulatory event, 33 prior customer disputes, 4 currently pending customer disputes and a…

Rex Securities Law
July 17, 2016
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Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing

Pamela Posey-Former Securities America Broker-Discloses Bankruptcy Filing https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 17, 2016 July 17, 2016

July 2016- Boynton Beach, Florida The FINRA records of Pamela Posey , a stock broker who formerly worked for Securities America, disclose a pending financial event and 3 outstanding judgements/liens The Financial Industry Regulatory Authority (FINRA) is the…