fbpx

Finra Investigation of Stockbroker

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY

Nicholas Palumbo-Former Park Avenue Securities Broker-Barred From Securities Industry-Armonk, NY 150 150 ER

Nicholas Palumbo Investigation December 2021- Armonk, NY According to publicly available records Nicholas R. Palumbo,  a  former stockbroker who last worked for Park Avenue Securities discloses that he has been sued by…

read more

Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL

Michael “Mike” Conte- Former Fusion Analytics Securities Broker- Permanently Barred from FINRA- Coral Springs, FL 150 150 ER

Michael “Mike” Conte Investigation December 2021- Coral Springs, FL  According to publicly available records,  Michael “Mike” James Conte a broker previously employed with Fusion Analytics Securities discloses a prior regulatory event,…

read more

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

read more

John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY

John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY 150 150 Rex Securities Law

November 2021- New York, NY The FINRA records of  John Dennis Lowry ,  a  financial advisor  employed by  Spartan Capital Securities disclose a pending regulatory matter, 2 pending customer disputes and…

read more

Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC

Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

read more

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest

Hancock Whitney Investment Services- Fined $2.4M – Regulator Alleges Conflict of Interest 150 150 Rex Securities Law

Hancock Whitney Investment Services Investigation November 2021 Hancock Whitney Investment Services was fined and ordered to pay disgorgement and restitution over $2.4 million dollars by regulators for conflicts of interest related…

read more

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold $7.8M of Unsuitable REITs- Westlake Village, CA 150 150 Rex Securities Law

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending…

read more

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Rex Securities Law

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

read more