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Broker Disclosing Outstanding Liens/Judgments

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL

Charles Stevens-Former D.H. Hill Broker-Discloses Regulatory Event, 2 Settled Customer Disputes, Pending Dispute and 5 IRS Liens- St. Augustine, FL 150 150 Rex Securities Law

July 2021-St. Augustine, FL According to publicly available records,  formerly a D.H. Hill Securities  financial advisor Charles Stevens,  discloses a regulatory event under review, 2 settled customer disputes and 1 pending…

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Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX

Richard Demetriou -Titan Securities Broker-Permanently Barred from FINRA- Addison, TX 150 150 Rex Securities Law

June 2021 – Addison, TX According to publicly available records, former Titan Securities,  financial advisor Richard Demetriou,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX

Daniel Staudacher-Worth Financial Group Broker-Discloses 2 Regulatory Events, a Customer Dispute and 6 Tax Liens-Dallas, TX 150 150 Rex Securities Law

June 2020- Dallas, TX The FINRA records of Daniel W. Staudacher, a broker currently registered with Worth Financial Group, disclose 2 regulatory events, a customer dispute and 6 pending IRS liens.…

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Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX

Dale Johnson, Jr. -Stifel, Nicolaus & Company Broker-Discloses Pending Dispute-Abilene, TX 150 150 Rex Securities Law

June 2020 -Abilene, TX The FINRA records of Dale Franklin Johnson  , a stockbroker registered with Stifel, Nicolaus & Company , disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA

Narinder Singh (aka Dutt)-Former Farmers Financial Solutions Broker- Discloses Customer Disputes-Sacrament, CA 150 150 Rex Securities Law

May 2020-Sacramento, CA According to publicly available records of Narinder K. Singh (aka Narinder Dutt)  (CRD#3100308) ,  a  former stockbroker who last worked for Farmers Financial Solutions, discloses a final customer…

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Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX

Michael Kamperman-Former HD Vest Broker-Discloses Regulatory Event, Customer Disputes and a Tax Lien-Waco, TX 150 150 Rex Securities Law

May 2020-Waco, TX According to publicly available records of Michael Kamperman (CRD#2002603) ,  a  former stockbroker who last worked for HD Vest Investment Services  discloses  a regulatory event, customer disputes and…

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James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA

James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Rex Securities Law

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

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Christopher Orlando- Worden Capital Management Broker- Discloses Pending Customer Dispute-New York, NY

Christopher Orlando- Worden Capital Management Broker- Discloses Pending Customer Dispute-New York, NY 150 150 Rex Securities Law

July 2019- New York, NY The FINRA records of  Christopher G. Orlando ,  a  financial advisor employed by  Worden Capital Management disclose a pending customer dispute and an outstanding tax lien.…

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Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY

Abed William Lulu-Former Worden Capital Broker- Discloses 6 Regulatory Event & Customer Suits – Melville, NY 150 150 Rex Securities Law

June 2019-Melville, NY The FINRA records of  Abed William Lulu ,  a  financial advisor previously employed by  Worden Capital Management disclose 6 regulatory events,  3 prior customer disputes, 4 outstanding judgments. The…

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