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Discretionary Trading

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO

Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Rex Securities Law

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records,  Gregory Jon Williams, a former broker who was last employed by  Fort Finanical Group,  discloses  6 pending and  3 prior…

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Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Rex Securities Law

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY

David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Rex Securities Law

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ

Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ 150 150 Rex Securities Law

William Torriente Investigation July 2022- Mt. Dora, Florida According to publicly available records,  William “Eddy” Torriente, Jr. ,  a financial advisor previously employed by Comerica Securities, discloses a final regulatory matter,…

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Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Rex Securities Law

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA

Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA 150 150 ER

September 2021- Los Angeles, CA According to publicly available records,  Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…

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