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Finra Investigation of Stockbroker

Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX
Royce Simpson-Former Oppenheimer Broker-Discloses Settlement of Customer Disputes-Houston, TX 150 150 Rex Securities Law

Houston, Texas AUGUST 2017 UPDATE-FINRA case 15-2841,-The Board of County Commissioners of the County of Bernalillo New Mexico,   sought damages of $17 million  From Royce Simpson, Oppenheimer & Co. BOSC, Inc.…

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Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation
Matthew J. Ronan-ViewTrade Securities Broker-Discloses Pending Regulatory Investigation 150 150 Rex Securities Law

Boca Raton, Florida According to FINRA records, Matthew J. Ronan ,  a stock broker who works for ViewTrade Securities  discloses  a customer dispute that has been finalized and a pending regulatory investigation. The Financial…

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Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation
Alan R. Pacella-ViewTrade Securities Broker-Discloses Pending Investigation 150 150 Rex Securities Law

Boca Raton, Florida According to FINRA records, Alan R. Pacella ,  a stock broker who works for ViewTrade Securities  discloses a regulatory matter that has been finalized , a customer dispute that has been finalized…

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Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update
Dion R. Padilla-NEXT Financial Group Stockbroker-Investigation Update 150 150 Rex Securities Law

May 2019 UPDATE- Dion Padilla/ AT&T Retirement Account investigation. See this for details.   Original Post-May 2016 San Antonio, Texas According to FINRA records, Dion R. Padilla ,  a stock broker who has…

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Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator
Noe Garcia, Sr. of State Farm VP Management Sanctioned by Securities Regulator 150 150 Rex Securities Law

Odessa, Texas According to FINRA records, Noe Garcia, Sr. ,  a former investment company products and variable contracts representative for State Farm VP Management  from 5/2007-11/2015 discloses that he was sanctioned by FINRA for failing to amend…

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Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry
Danny M. Thomas-Former Broker with State Farm VP Management-Barred From Securities Industry 150 150 Rex Securities Law

Little Rock, Arkansas According to FINRA records, Danny M. Thomas ,  a broker who worked for State Farm VP Management  from 8/2003-9/2015 discloses that he was permanently barred from the securities industry in May 2016. The…

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David Newman-Former First Western Securities Broker-Fined by Securities Regulator
David Newman-Former First Western Securities Broker-Fined by Securities Regulator 150 150 Rex Securities Law

Hurst, Texas- April 2016 David P. Newman who formerly was a stockbroker with First Western Securities  (4/2008-1/2016) in Hurst, Texas,  entered into a Letter of Acceptance, Waiver and Consent (AWC) with the…

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Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY
Kevin R. Graetz-Former Paulson Investment Broker-Barred From Securities Industry-Subject of Customer Suits-NY 150 150 Rex Securities Law

November 2019-New York According to FINRA records, Kevin Richard Graetz ,  a former stock broker who was last  registered  with Paulson Investment Company  discloses that he was barred from the securities…

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Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities
Karim Ibrahim (Chris Allen) Investigation-Avenir Financial/Legend Securities 150 150 Rex Securities Law

April 2016- Orangeburg, NY The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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