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Finra Investigation of Stockbroker

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC
James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Rex Securities Law

James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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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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Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY
Kenneth Byrne- Former Janney Montgomery Scott Broker-Barred From Securities Industry by Regulators -Garden City, NY 150 150 ER

Kenneth Byrne Investigation May 2023-Garden City, NY According to publicly available records Kenneth Byrne a former broker who last worked for Janney Montgomery Scott,  discloses a final regulatory matter resulting in…

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Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT
Marianne O’Shee Smith- Former Cetera Advisors Broker-Barred From Securities Industry by Regulators -Avon, CT 150 150 ER

Marianne O’Shee Smith Investigation April 2023-Avon,CT According to publicly available records Marianne O’Shee Smith a former broker who last worked for Cetera Advisors,  discloses a final regulatory matter resulting in a…

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Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO
Suzanne Charrin- Former Woodbury Financial Services Broker-Barred From Securities Industry by Regulators -Greenwood, CO 150 150 ER

Suzanne Charrin Investigation April 2023-Greenwood, CO  According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services,  discloses a final regulatory matter resulting in a…

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John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA
John Matson- Former LPL Financial Advisor-Barred From Securities Industry by Securities Regulator -Manhattan Beach, CA 150 150 ER

John Matson Investigation April  2023- Manhattan Beach,  CA According to publicly available records,  John Nicholas Matson a former broker who last worked for LPL Financial,  discloses a final regulatory matter resulting in…

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Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX
Christine Warner-Monticello Financial Group Broker-Discloses Regulatory Suspension- Mount Pleasant, TX 150 150 ER

Christine Warner Investigation April 2023-Mount Pleasant, TX According to publicly available records Christine Anne Warner, a Monticello Financial Group broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is…

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Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ
Caz Craffy- Former Monmouth Capital Management Broker-Barred From Securities Industry by Regulators – Morristown, NJ 150 150 ER

Caz Craffy Investigation April 2023-Morristown, NJ According to publicly available records Caz Craffy, a former broker who last worked for Monmouth Capital Management,  discloses a final regulatory matter resulting in a…

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