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Broker Disclosing Outstanding Liens/Judgments

Charles  Stevens-D.H. Hill Securities Broker-Discloses Pending Customer Suits-St. Augustine, FL
Charles  Stevens-D.H. Hill Securities Broker-Discloses Pending Customer Suits-St. Augustine, FL 150 150 Rex Securities Law

July 2018-St. Augustine, Florida The FINRA records of  Charles T. Stevens,  a  stock broker who is currently employed by D,H. Hill Securities ,  disclose 2 currently pending customer disputes and 5 outstanding IRS judgement/liens. The…

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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX
Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Rex Securities Law

Mason Gann Investigation September  2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

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Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL
Jimmy Moscoso-Former Lincoln Financial Advisor Broker-Barred From Securities Industry-Boca Raton, FL 150 150 Rex Securities Law

February 2018-Boca Raton, FL According to publicly available records Jimmy Oswald Moscoso  , (CRD# 2912265) ,  a   former stockbroker who last worked for Lincoln Financial Advisors,  discloses that he was recently barred from the…

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Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY
Zachary Berkey-Former Four Points Capital Broker-Fined by Regulator-Melville, NY 150 150 Rex Securities Law

June 2019-Melville, New York / Texas Zachary S. Berkey , a currently unregistered stockbroker who last worked for Four Points Capital Partners, a Texas LLC, (Four Points) was named in a…

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Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX
Christian L. Webb-Former LPL Financial Broker-Investigation Update-Lakeway, TX 150 150 Rex Securities Law

October 2017-Lakeway, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  currently unregistered stockbroker who was last registered with Dominion Investors Services of Horseshoe Bay, TX  , discloses a termination…

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William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL
William B. Wyman-Former Royal Alliance Assoc. Broker-Barred From Securities Industry-Palm Bay, FL 150 150 Rex Securities Law

April 2017- Palm Bay, FL The FINRA records of  William B. Wyman ,  a  former stockbroker who was  employed by  Royal Alliance Associates disclose a prior regulatory event,  a pending customer dispute, two prior…

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William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA
William H. Watson III-Former Freedom Investors Broker- Discloses Regulatory events, Customer Disputes-Federal Tax Liens-Orange County, CA 150 150 Rex Securities Law

August 2018 -Orange County, CA According to publicly available records William Henry Watson III (CRD#1016938) , a  stockbroker who was previously registered with Freedom Investors Corp, disclose  two regulatory events , seven customer disputes and…

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