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Discretionary Trading

Darryl Cohen-Former Morgan Stanely Broker-Barred From Securities Industry by Regulator – Westlake Village, CA

Darryl Cohen-Former Morgan Stanely Broker-Barred From Securities Industry by Regulator – Westlake Village, CA 150 150 ER

Darryl Cohen Investigation August 2022-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley , disclose a regulatory…

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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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Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX

Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX 150 150 Rex Securities Law

Mark Kemp Investigation July 2022 – Corpus Christi, Texas According to publicly available records Mark A. Kemp  (CRD#2057200) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp. ,  discloses a prior regulatory…

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Felipe Henao Vargas- Former Insigneo Securities Broker- $1 Million Settlement on Short Trading Case-Miami, FL

Felipe Henao Vargas- Former Insigneo Securities Broker- $1 Million Settlement on Short Trading Case-Miami, FL 150 150 ER

Felipe Henao Vargas Investigation March 2022- Miami, FL According to publicly available records,  Felipe Henao Vargas (aka Felipe Henao) , a currently unregistered broker who was last employed by Insigneo Securities,…

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Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL

Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL 150 150 Rex Securities Law

Gerald J. O’Halloran Investigation   March 2022-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who is currently employed by Union Capital Company and who was…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ

Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Rex Securities Law

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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