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Finra Investigation of Stockbroker

Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX
Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX 150 150 Rex Securities Law

May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.  Original Post-August 5,  2015– Huffman, Texas  Charlotte Ann Guin ,  entered into a Letter of Acceptance Waiver and Consent…

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Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry
Former Robert W Baird Broker -Franklin, TN, Barred From Securities Industry 150 150 Rex Securities Law

Patrick L. Garrett ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he intentionally and knowingly misrepresented to a…

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Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator
Former Advisors Asset Management (AAM) Broker in San Antonio Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 20, 2015- San Antonio, Texas Andrew Joseph Thomas ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Port Orange Florida Stock Broker Sanctioned by FINRA
Port Orange Florida Stock Broker Sanctioned by FINRA 150 150 Rex Securities Law

July 24,  2015- Port Orange, Florida Dennis Ray Roberts ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed…

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Hector Perez a/k/a Bruce Johnson Barred From Securities Industry
Hector Perez a/k/a Bruce Johnson Barred From Securities Industry 150 150 Rex Securities Law

July 1, 2015 Hector Perez , a/k/a Bruce Johnson ,  entered into a settlement with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between December 2009 and February 2011, he…

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Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators
Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Rex Securities Law

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL
Jose Palacio-Former H.D. Vest Broker-Sanctioned by Regulator-Bradenton,FL 150 150 Rex Securities Law

July 10,  2015- Bradenton, Florida Jose Luis Palacio ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he willfully failed to timely…

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Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry
Dylan Grayson- Merrill Lynch Broker in Plano Texas-Barred from Securities Industry 150 150 Rex Securities Law

July 9 , 2015- Plano, Texas Dylan Patrick Grayson ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to provide…

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Lantana Florida Broker Sanctioned by Securities Regulator
Lantana Florida Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 13, 2015- Lantana, Florida Ingrid M. Batchelor ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she  engaged…

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