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StockBroker Misconduct

Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX
Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX 150 150 Rex Securities Law

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX  According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services,  discloses a final regulatory matter resulting…

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Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX
Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Rex Securities Law

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

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Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL
Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL 150 150 Rex Securities Law

Jorge Sonville Investigation September  2022-Miami, FL  According to publicly available records Jorge A. Sonville,  a currently unregistered broker who most recently worked with  Insigneo Services and before that, Merrill Lynch,  discloses a…

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Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY
Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, Customer Suits and an IRS Lien – New York, NY 150 150 ER

Joseph Ambrosole Investigation September 2022- New York, NY According to publicly available records,  Joseph Ambrosole a former FINRA registered representative who last worked for Joseph Stone Capital, discloses 5 prior…

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Anthony Pitta- Capital Investment Group Broker- Subject of $625K Customer Suit-Melville, NY
Anthony Pitta- Capital Investment Group Broker- Subject of $625K Customer Suit-Melville, NY 150 150 Rex Securities Law

Anthony Pitta Investigation September 2022- Melville, NY According to publicly available records,  Anthony J. Pitta,  a financial advisor currently employed by Capital Investment Group, discloses  a currently pending customer dispute. The Financial…

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John Hebner – Moloney Securities Broker- Discloses Customer Suit-Hayden, Idaho
John Hebner – Moloney Securities Broker- Discloses Customer Suit-Hayden, Idaho 150 150 Rex Securities Law

John Hebner Investigation September 2022- Hayden, Idaho According to publicly available records,  John R. Hebner,  a financial advisor currently employed by Moloney Securities, discloses  a currently pending customer dispute. The Financial Industry…

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William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX
William Moening-Wells Fargo Broker-Discloses Customer Dispute- Austin, TX 150 150 Rex Securities Law

William Moening Investigation September 2022-Austin, TX  The FINRA records of William R. Moening,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX
Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX 150 150 Rex Securities Law

Walter Reyna Investigation September 2022- McAllen, Texas  According to FINRA records, Walter J. Reyna ,  a  former Lincoln Financial Securities broker discloses two recently filed arbitrations by customers seeking damages for losses on…

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Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ
Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ 150 150 Rex Securities Law

Christopher Wright Investigation   September 2022- Prescott, AZ  According to publicly available records Christopher Wright,  a broker employed by Center Street Securities,  discloses a pending customer suit involving an investment in…

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