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Broker borrowing Money from customer

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN 150 150 ER

      Bill Woods aka                  William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…

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Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Rex Securities Law

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

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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 150 150 ER

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, …

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Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX

Robert Renteria- Former PFS Investments Financial Advisor-Terminated for Borrowing From Customer-El Paso, TX 150 150 Rex Securities Law

April 2020-El Paso, TX According to publicly available records of Robert Renteria (CRD#5773053) ,  a broker formerly employed with PFS Investments, Inc., discloses a regulatory event, a settled customer dispute and…

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Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas

Anselmo Contreras, Jr.-Former Cambridge Investment Financial Advisor-Barred From Securities Industry-Angleton, Texas 150 150 Rex Securities Law

May 2019 – Angleton, Texas According to publicly available records, former Cambridge Investment Research  financial advisor Anselmo Contreras, Jr.  discloses a recent regulatory event resulting in his bar from the…

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Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX

Phillip Johnson- Former SunTrust Investments Services Broker- Discloses 4 Regulatory Events, 2 Customer Disputes and a Termination- Kingwood, TX 150 150 Rex Securities Law

April  2019 – Kingwood, TX According to publicly available records  Phillip Andrew Johnson (CRD# 501352) ,  a  former stockbroker who was last  employed by D.H. Hills Securities,  disclose 4 regulatory events, 2…

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J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX

J. Gordon Cloutier, Jr.-Former Wells Fargo Broker-Barred From Securities Industry-Frisco, TX 150 150 Rex Securities Law

October 2018-Frisco, Texas According to publicly available records J. Gordon Cloutier, Jr.   ,  a  former stockbroker who was last registered with Wells Fargo Advisors disclose two regulatory events, a prior customer dispute and…

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Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX

Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX 150 150 Rex Securities Law

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute,  and a…

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