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Finra Investigation of Stockbroker

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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Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint

Jeffery A. Vaughn-Former Hornor, Townsend, Kent Broker-Named in FINRA Complaint 150 150 Rex Securities Law

July 2016-Horsham, PA The FINRA records of Jeffery A. Vaughn  , a  currently unlicensed stockbroker who was  most recently employed by  Hornor, Townsend & Kent  , disclose a pending regulatory event, 2 prior regulatory events and…

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Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures

Melissa Strouse of First Financial Equity Corporation Sanctioned by FINRA for Inadequate Supervisory Procedures 150 150 Rex Securities Law

UPDATE March 2017–Melissa A. Strouse, CCO of First Financial Equity Corp., has consented, without admitting or denying the allegations made by FINRA, to the entry of certain findings and violations…

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George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute

George E. Johnson-Former Newport Coast Broker-Discloses $2.6M Customer Dispute 150 150 Rex Securities Law

July 2016-Chicago, Illinois The FINRA records of George E. Johnson  , a former stockbroker who was last  employed by  Newport Coast Securities  , disclose 3 final regulatory events, 6 prior customer disputes and a pending customer dispute.…

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Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning

Donald A. Bartelt-Former Newport Coast Securities Broker-Discloses Pending Regulatory Action for Churning 150 150 Rex Securities Law

July 2016-Cave Creek, AZ The FINRA records of Donald A. Bartelt  , a former stock broker who was last employed by  Newport Coast Securities  , disclose a pending regulatory event,  a prior customer dispute , a pending customer…

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Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning

Douglas A. Leone-Former Newport Coast Securities Broker-Discloses Regulatory Investigation for Churning 150 150 Rex Securities Law

July 2016-Farmingdale, NY The FINRA records of Douglas A. Leone  , a stock broker currently employed by  Salomon Whitney Financial  , disclose a pending regulatory event and 7 prior customer disputes, The Financial Industry Regulatory Authority (FINRA) is the…

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Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes

Rushton L. Ardrey-Former Newport Coast Securities Broker-Discloses Customer Disputes 150 150 Rex Securities Law

July 2016-Boston, MA The FINRA records of Rushton L. Ardrey, III  , a former stock broker employed by  Newport Coast Securities  , disclose 3 prior final regulatory events, a prior customer dispute, 3 currently pending customer disputes and…

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