fbpx

Failure to Cooperate with Regulatory Investigation

Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL

Thomas Stratton -Former World Choice Securities Broker-Barred from Securities Industry-Melbourne, FL 150 150 ER

Thomas Stratton Investigation September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter…

read more

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

read more

Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL

Roland Gerbauld- Former Bolton Global Capital Broker- Permanently Barred from FINRA- Miami, FL 150 150 ER

August 2021- Miami, FL/Rio de Janeiro, Brazil  According to publicly available records,  Roland Gerbauld a broker previously employed with Bolton Global Capital. discloses a prior regulatory event and a pending regulatory…

read more

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA

Charles Kenahan-Former Merrill Lynch Broker-Discloses over $60M in Settlements of Customer Disputes- Boston, MA 150 150 Rex Securities Law

August 2021- Boston, MA According to publicly available records, former Merrill Lynch, Pierce, Fenner & Smith  financial advisor Charles Kenahan,  discloses 2 regulatory events, 4 final customer disputes, one pending…

read more

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL

Mark Tudor-Fired by Raymond James-Barred From Securities Industry-Lake Mary, FL 150 150 Rex Securities Law

May 2019, Lake Mary, Florida According to publicly available records Mark Andrew Tudor  ,  a  former stockbroker who last worked for Raymond James Financial  ,  disclose a recent regulatory event…

read more

John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA

John Spach-Former Kestra Investment Services Broker-Discloses $450K Settlement & Termination from Employment-Calabasas, CA 150 150 Rex Securities Law

February 2019 – Calabasas, CA According to publicly available records John William Spach  (CRD#2731192) ,  a  previously registered stockbroker who was last employed by Kestra Investment Services, LLC disclose  a recent regulatory sanction, a…

read more

Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA

Bruce Worthington-Former Founders Financial Securities Broker-Discloses Regulatory Event, Pending Investigation, Termination & Customer Complaint-Middleton, MA 150 150 Rex Securities Law

February 2019-Middleton, MA According to publicly available records Bruce C. Worthington (CRD# 2193895) ,  a  stockbroker previously employed by Founders Financial Securities, discloses a pending regulatory event, a prior regulatory event, a  pending…

read more

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL

Jay Weiser-Former Despain Financial Broker-Barred From Securities Industry-Collinsville, IL 150 150 Rex Securities Law

February  2019 – Collinsville, IL According to public records, Jay R. Weiser  (CRD#1511042)  a  former stockbroker who was previously employed by Despain Financial Corporation,  discloses a regulatory event, a pending customer dispute and…

read more

This site is protected by wp-copyrightpro.com