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Finra Investigation of Stockbroker

Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute
Sean W. Mollard-Former Dawson James Broker-Discloses $1M Customer Dispute 150 150 Rex Securities Law

Boca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records,  Sean W.…

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Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension
Timothy C. Moody- Moody Captital Solutions Broker-Discloses Regulatory Suspension 150 150 Rex Securities Law

Dawsonville, Georgia According to FINRA records,  Timothy C. Moody ,   a stock broker  employed by Moody Capital Solutions , discloses a recent regulatory action. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers…

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Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ
Richard Lim-Former Caldwell International Securities Broker-Named in Regulatory Complaint-Englewood Cliffs, NJ 150 150 Rex Securities Law

Englewood Cliffs, New Jersey According to FINRA records,  Richard Lim,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation and 3 presently outstanding judgement/liens . The Financial Industry Regulatory…

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Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint
Alex Etter-Former Caldwell International Securities Broker-Named in Regulatory Complaint 150 150 Rex Securities Law

Englewood Cliffs, New Jersey According to FINRA records,  Alex E. Etter,   a stockbroker who was formerly employed by Caldwell International Securities, discloses  a pending regulatory investigation . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation
Greg Caldwell-Caldwell International Securities Broker-Discloses Regulatory Investigation 150 150 Rex Securities Law

Austin, Texas OCTOBER 2017 UPDATE-Caldwell International Securities was expelled from the securities industry by FINRA January 2017. According to FINRA records,  Greg A. Caldwell,   a stockbroker who is currently  employed by Caldwell International…

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Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension
Michael P. Lessard-Former MetLife Securities Broker-Discloses Regulatory Suspension 150 150 Rex Securities Law

Charlotte, North Carolina According to FINRA records,  Michael P. Lessard, Jr.,   a stockbroker who currently works for Southeast Investments,  discloses  a regulatory investigation and a discharge from a prior firm. The Financial Industry Regulatory Authority…

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John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning
John Billy Kakonikos-Former Southeast Investments Broker-Suspended Over Account Churning 150 150 Rex Securities Law

East Meadow, New York UPDATE MAY 2017-In November 2016 John B. Kakonikos was suspended by FINRA for 18 months, fined $10,000 and ordered to pay restitution of $72,524 to resolve…

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Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute
Terry W. Chilton-Former IMS Securities Broker-Discloses Regulatory Investigation/Customer Dispute 150 150 Rex Securities Law

June 2016—-Beaumont, Texas According to FINRA records,  Terry W. Chilton ,   a stockbroker who formerly was employed by IMS Securities.   discloses  a pending regulatory investigation and a pending customer dispute. In June 2015, a FINRA…

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