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Broker Disclosing Outstanding Liens/Judgments

Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina
Darrell Strickland-NEXT Financial Group Broker-Subject of Numerous Customer Suits-Mount Pleasant, S Carolina 150 150 Rex Securities Law

Darrell H. Strickland Investigation October 2022- Mount Pleasant, South Carolina The FINRA records of  Darrell Horace Strickland,  a  stock broker employed by NEXT Financial Group ,  disclose a pending customer dispute, a prior customer…

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Arthur Frank Wagner – Dominion Investor Broker- Discloses Tax Lien -Corpus Christi, TX
Arthur Frank Wagner – Dominion Investor Broker- Discloses Tax Lien -Corpus Christi, TX 150 150 ER

Frank Wagner Investigation September 2022- Corpus Christi, TX According to publicly available records,  Arthur Frank Wagner,  a Dominion Investor Services, Inc. broker, discloses an IRS tax lien. The Financial Industry Regulatory Authority (FINRA) is the…

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Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX
Jay Harper- Dominion Investor Services Broker- Discloses Multiple IRS Liens- Nemo, TX 150 150 ER

Jay Harper Investigation September  2022- Nemo, TX According to publicly available records  Jason Windle Harper a Dominion Investor Services broker, discloses multiple Internal Revenue Service tax liens. The Financial Industry Regulatory Authority…

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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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Centaurus Customers Seek More Than $7 Million In Damages For Mismanaging Accounts – Sarasota, FL
Centaurus Customers Seek More Than $7 Million In Damages For Mismanaging Accounts – Sarasota, FL 150 150 ER

Marc Korsch/Centaurus Financial Investigation August 2022-Sarasota, FL According to publicly available records Marc Korsch, a former broker who last worked for  Centaurus Financial, Inc.,  discloses  that former customers are seeking more…

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William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL
William L. Baumner- Former Buckman, Buckman & Reid Broker-Has Multiple Customer Suits Involving Private Placements-Boca Raton, FL 150 150 Rex Securities Law

William L. Baumner Investigation August 2022-Boca Raton, Florida According to FINRA records,  William L. Baumner, IV ,   a previously registered stockbroker who last worked for Tradespot Markets and  Buckman, Buckman & Reid   discloses  a…

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Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC
Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Rex Securities Law

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA
Joseph “Joey” Cason- Former First Allied Securities Broker- Discloses 2 Pending Customer Disputes- Brunswick, GA 150 150 ER

Joseph “Joey” Cason Investigation May, 2022 – Brunswick, GA The FINRA records of Joseph “Joey” M. Cason, a  broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose…

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Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC
Matthew A. Siliato- Former Spartan Capital Broker-Barred from Securities Industry-NYC 150 150 Rex Securities Law

Matthew A. Siliato Investigation March 2022 -New York The FINRA records of  Matthew Angelo Siliato,  a  former stock broker who was last employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending…

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