securities attorney Archives - Page 6 of 79

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March 8, 2023
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Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL

Jose A. Vidal- Former Wells Fargo / Insigneo Securities Broker- Discloses Customer Suit-Miami, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Jose A. Vidal Investigation March 2023-Miami, FL According to publicly available records Jose Antonio Vidal, a broker who currently is working with Insigneo Services and prior to that, Wells Fargo Advisors,…

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March 8, 2023
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Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK

Karen Cunningham- Kestra Investment Services Broker-Discloses $150K Customer Dispute- Oklahoma City, OK http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Karen S. Cunningham Investigation March 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker with Kestra Investment Services, discloses a pending customer suit. The Financial…

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March 8, 2023
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Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN

Greg Koalska-Former Cambridge Investment Research Broker-Subject of 2 Regulatory Events & Termination of Employment-Oakdale, MN http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Greg Koalska Investigation March 2023- Oakdale, MN The FINRA records of Greg Koalska, a currently unregistered stock broker formerly employed by Cambridge Investment Research. , disclose 2 regulatory events, , a…

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March 8, 2023
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Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC

Eugene “Bron” Thompson- Capital Investment Broker- Discloses Customer Dispute Involving GWG Holdings- Wallace, NC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 August 17, 2023

Eugene Cebron “Bron” Thompson Investigation March 2023– Wallace, NC According to publicly available records, Eugene “Bron” Thompson, a broker with Capital Investment Group, discloses a customer dispute related to GWG…

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March 8, 2023
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Joseph Beam- Capital Investment Broker-Discloses 3 Customer Disputes-GWG Holdings Losses- Flat Rock, NC

Joseph Beam- Capital Investment Broker-Discloses 3 Customer Disputes-GWG Holdings Losses- Flat Rock, NC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Joseph Beam Investigation March 2023- Raleigh, NC According to publicly available records Joseph Beam, a broker employed by Capital Investment Group, Inc., discloses three customer disputes. The Financial Industry Regulatory…

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March 8, 2023
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Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC

Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…

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March 8, 2023
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John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL

John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

John Moy Investigation March 2023-Boca Raton, FL The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes, a pending customer dispute and two terminations from employment.…

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March 8, 2023
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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

John Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…

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February 28, 2023
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Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX

Crystal Turk-Former JP Morgan Broker-Discloses Suspension and Termination of Employment-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 28, 2023 February 28, 2023

Crystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…