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Failure to Cooperate with Regulatory Investigation

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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Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX
Tye C. Williams-Former NEXT Financial Group Broker-Named in $1M Customer Dispute-Frisco, TX 150 150 Rex Securities Law

September 2017 – Frisco, Texas According to publicly available records  Tye C. Williams (CRD#1271046) , a former stockbroker  who was most recently employed by NEXT Financial Group , disclose  a regulatory event that resulted in…

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Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH
Michael O’Connor-Former Morgan Stanley Broker-Agrees to Bar from Securities Industry-Pepper Pike, OH 150 150 Rex Securities Law

September 2017 – Pepper Pike, OH According to publicly available records  Michael J. O’Connor (CRD#5791343) , a former stockbroker  who was most recently employed by Morgan Stanley , disclose a termination from employment and a…

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Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX
Joe L. Buckner-Former Brazos Securities Broker-Barred From Industry by FINRA-Dallas, TX 150 150 Rex Securities Law

May 2017- Dallas, TX The FINRA records of  Joe L. Buckner,  a  former stockbroker who was last employed by  Brazos Securities discloses a prior regulatory event, a pending customer dispute, a regulatory investigation and a termination from…

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Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint-
Demitrios Hallas-Former PHX Financial Broker-Named in SEC Complaint- 150 150 Rex Securities Law

April 2017- New York The FINRA records of  Demitrios Hallas ,  a  former PHX Financial stockbroker who is currently not registered disclose two final regulatory events, 2 prior customer disputes and a termination from employment.…

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Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT
Lloyd Dotson-Former Commonwealth Financial Network Broker-Sanctioned by Securities Regulator-New Canaan, CT 150 150 Rex Securities Law

April 2017- New Canaan, CT According to publicly available records Lloyd Dotson , (CRD# 2551716) ,  a  former stockbroker who was last employed by Commonwealth Financial Network discloses a prior regulator event, 2 prior customer…

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Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint
Eddie Basora Jr.-Former Merrimac Broker-Named in Regulatory Complaint 150 150 Rex Securities Law

March 2017-Altamonte Springs, Florida According to publicly available records Eddie Basora, Jr.  , (CRD# 4388378) ,  a   former stockbroker who last worked for Merrimac Corporate Securities has been named in a complaint filed…

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Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL
Douglas W. Studer-Former Kovack Securities Broker-Barred by Securities Regulator-Ft. Lauderdale, FL 150 150 Rex Securities Law

February 2017-Ft. Lauderdale, FL According to publicly available records Douglas W. Studer , (CRD# 4440047) ,  a  former stockbroker who was last employed by Kovack Securities, disclose that he was permanently barred by…

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John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit
John Simpson-Former RBC Capital Markets Broker-Discloses $11M Customer Suit 150 150 Rex Securities Law

December 2016-Hunt Valley, MD The FINRA records of  John Scott Simpson,  a  stockbroker who formerly worked for RBC Capital Markets, was permanently barred from acting as a broker or otherwise associating with firms that…

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