stockbroker negligence Archives - Page 6 of 149

ER
June 19, 2023
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Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 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 June 19, 2023 June 19, 2023

Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting…

ER
June 19, 2023
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Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME

Robert “Bob” Thomas-Former Avantax Investment Services Broker-Discloses 2 Customer Disputes and a Termination fro mEmployment- Bangor, ME 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 June 19, 2023 June 19, 2023

Robert “Bob” Thomas Investigation May 2023-Bangor, ME According to publicly available records Robert A. Thomas a currently unregistered broker who formerly worked for Avantax Investment Services, discloses a 2 customer…

ER
June 19, 2023
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Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL

Eric Stone- Former Fidelity Brokerage Services Advisor- Borrows From Client – Barred From Industry by Securities Regulators -Jacksonville, FL 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 June 19, 2023 June 19, 2023

Eric Stone Investigation June 2023-Jacksonville, FL According to publicly available records Eric James Stone a former broker who last worked for Fidelity Brokerage Services, discloses a regulatory matter resulting in a…

ER
June 19, 2023
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Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY

Sean Storm Boswick-Former Brock Securities Broker-Barred From Securities Industry – New York, NY 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 June 19, 2023 June 19, 2023

Sean Storm Boswick Investigation June 2023-New York, NY The FINRA records of Sean “Storm” Boswick, a former stock broker who was last employed in the industry by Brock Securities , disclose…

ER
June 19, 2023
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Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas

Crescent Securities Censured and Fined by Securities Regulator-Plano, Texas 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 June 19, 2023 June 19, 2023

Crescent Securities Group Investigation June 2023- Dallas, Texas In a recent FINRA Letter of Acceptance Waiver and Consent, Austin-based Crescent Securities Group (CRD 114993) was censured and fined $30,000 for…

ER
June 19, 2023
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Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA

Berthel Fisher & Co. Discloses Investor Lawsuits Seeking $32 Million- Cedar Rapids, IA 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 June 19, 2023 June 19, 2023

June 2023 Cedar Rapids based Berthel Fisher & Company Financial Services, Inc. discloses that they may be facing costs of up to $32 million in connection with a recent flurry…

Rex Securities Law
June 19, 2023
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Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA

Oppenheimer & Co. Loses Bid to Have $36 Million FINRA Arbitration Award Overturned- Atlanta, GA 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 June 19, 2023 June 19, 2023

Oppenheimer Hit with $36M Arbitration Award Attempt to Have It Set Aside Fails June 2023 – Atlanta, GA In September 2022 a FINRA arbitration panel awarded $36 million…

ER
June 19, 2023
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Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR

Luis Paredes Calvo- Citi International Financial / Insigneo Broker- Discloses Pending $5M Customer Suit-San Juan, PR 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 June 19, 2023 June 19, 2023

Luis Paredes Calvo Investigation June 2023-San Juan, PR According to publicly available records Luis Paredes Calvo, Insigneo Services (aka Citi International Financial Services) broker, discloses a pending $5 million customer…

ER
June 16, 2023
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Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 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 June 16, 2023 June 16, 2023

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services, discloses…