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Discretionary Trading

Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades
Stifel Nicolaus & Co. Fined $2.5 Million For Allowing Broker to Make Unauthorized Trades 150 150 Rex Securities Law

Stifel Nicolaus Investigation May 2023- Taunton, MA  According to publicly available records,  Stifel Nicolaus & Co.  has been fined $2.5 million by Massachusetts securities regulator William Galvin for ignoring a…

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Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe
Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe 150 150 Rex Securities Law

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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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 October 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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