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Failure to Cooperate with Regulatory Investigation

Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX
Tye Williams-Former NEXT Financial Broker- Barred From Securities Industry-Frisco, TX 150 150 Rex Securities Law

September 2016-Frisco, Texas Tye Williams, a stockbroker who formerly worked for NEXT Financial Group was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise…

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Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes
Lizabeth Gotuaco Ty-Former Park Avenue Securities Broker-Discloses Customer Disputes Over Unregistered Promissory Notes 150 150 Rex Securities Law

UPDATE February 2017– Lizabeth Beth Ty, also known as Lizabeth Gotuaco Ty discloses that another customer of Park Avenue Securities has filed a FINRA arbitration (case #17-429) alleging damages of…

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Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry
Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Rex Securities Law

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX
James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Rex Securities Law

August 2016-New Braunfels, Texas The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent…

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Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft
Douglas P. Simanski-Former NEXT Financial Group Broker-Discharged for Theft 150 150 Rex Securities Law

Altoona, PA UPDATE MAY 2017-The FINRA records of former NEXT Financial Group broker Douglas Simanski currently disclose 13 pending customer disputes and 3 customer disputes that are final. The newly…

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Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes
Raymond T. Clark-Former Dynasty Capital Partners Broker-Discloses 6 Pending Customer Disputes 150 150 Rex Securities Law

August 2016- Buffalo, New York The FINRA records of  Raymond T. Clark,  a  former stock broker who FINRA has permanently barred from acting as a broker or otherwise associating with firms that…

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Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina
Christopher T. Tolmacs-Former Triad Advisors Broker-Ordered to Pay Customer $1.5M-Columbia, S. Carolina 150 150 Rex Securities Law

August 2016- Columbia, South Carolina September 2017 UPDATE-A FINRA arbitration panel in Columbia, South Carolina awarded two former clients of Christopher Thomas Tolmacs $1.2 million in compensatory damages and $300,000 in…

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Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens
Christos A. Kalatoudis-Former Worden Capital Broker-Discloses Regulatory Events & Pending Judgment/Liens 150 150 Rex Securities Law

July 2016-Lake Success, New York The FINRA records of Christos A. Kalatoudis ,  a currently unlicensed stock broker who was last employed by Worden Capital Management, disclose  2 prior regulatory events,  4 prior finalized customer disputes and 2…

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Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes
Michael S. Lavolpe-Former Meyers Associates Broker-Discloses Multiple Pending Customer Disputes 150 150 Rex Securities Law

July 2016-New York The FINRA records of Michael S. Lavolpe  , a  currently unlicensed stockbroker who was  most recently employed by  Meyers Associates  , disclose a pending regulatory event, 4 pending customer disputes, 2 prior customer disputes…

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