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Finra Investigation of Stockbroker

Michael J. Smeriglio Customer Paid $2.5 Million Settlement

Michael J. Smeriglio Customer Paid $2.5 Million Settlement 150 150 Rex Securities Law

April 2016-Trumbull, CT 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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Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA

Howard Landers-1st Bridgehouse Securities Broker, Miami, FL-Suspended by FINRA 150 150 Rex Securities Law

UPDATE June 2020 December 2019-FINRA suspended Landers for two years for holding himself out as a chief compliance officer while statutorily disqualified and failed to disclose a personal bankruptcy filing…

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Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension

Craig G Langweiler – Former Meyers Associates Broker-Discloses Numerous Customer Disputes/Suspension 150 150 Rex Securities Law

May 2017-Newton, PA 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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William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX

William Hightower-Former UBS Stockbroker-Discloses Customer Arbitration–Houston, TX 150 150 Rex Securities Law

JANUARY 2019 UPDATE– See this for more. April 7, 2016- Houston, TX FINRA records report that former UBS Financial Services stockbroker William A. Hightower is named in a currently pending arbitration…

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Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA

Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA 150 150 Rex Securities Law

April 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…

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Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients

Michael Donnelly Investigation-Coastal Equities Broker Admits Theft From Elderly Clients 150 150 Rex Securities Law

October 19, 2015 Former Coastal Equities broker Michael Donnelly of Lecanto, Florida, admitting defrauding his clients and to disgorge over $2.2 million. In addition he consented to an SEC order…

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Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes

Aldo Marchena-Former Northeast Securities Broker-Discloses Settlement of Customer Disputes 150 150 Rex Securities Law

UPDATE December 2016–Aldo Marchena discloses two customer disputes on his FINRA record.  FINRA Case 16-1918-in which a customer of Northeast Securities alleges damages of $75,000 for breach of fiduciary duty by…

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Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX

Wade Lawrence-Former Southwest Securities Broker- Discloses Customer Complaints-Dallas, TX 150 150 Rex Securities Law

APRIL 2017 UPDATE In October 2016 Wade J. Lawrence was permanently barred by the SEC from acting as a broker, dealer, investment adviser, municipal securities dealer, municipal advisor or transfer…

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