Finra Investigation of Stockbroker Archives - Page 8 of 63

Rex Securities Law
September 26, 2022
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Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds

Daniel Lerner, David Lerner’s Son- Subject of Regulatory Action Over Energy 11/Energy 12/ Spirit of America Energy Funds http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 26, 2022 September 26, 2022

Daniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of Daniel Lerner, son of David Lerner and a broker with…

Rex Securities Law
September 23, 2022
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Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX

Dusty Lynn Sternadel – Former Ameriprise Financial Services Broker-Customer Alleges Theft -Barred From Securities Industry by Regulators -Wichita Falls, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 23, 2022 September 23, 2022

Dusty Lynn Sternadel Investigation September 2022-Wichita Falls, TX According to publicly available records Dusty Lynn Sternadel,a former broker who last worked for Ameriprise Financial Services, discloses a final regulatory matter resulting…

Rex Securities Law
September 23, 2022
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Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL

Jorge Sonville- Former Merrill Lynch / Insigneo Securities Broker- Discloses $4M Customer Suit-Miami, FL http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 23, 2022 September 23, 2022

Jorge Sonville Investigation September 2022-Miami, FL According to publicly available records Jorge A. Sonville, a currently unregistered broker who most recently worked with Insigneo Services and before that, Merrill Lynch, discloses a…

Rex Securities Law
September 1, 2022
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Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY

Tim Petrou -Former Arive Capital Markets Broker-Suspended for Churning Customer Account-Ronkonkoma, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 1, 2022 September 1, 2022

Efthimios (Tim) Petrou Investigation September 2022 – Ronkonkoma, NY According to publicly attained records, Efthimios (Tim) Petrou, a stockbroker who was last employed by Arive Capital Markets , discloses a recent…

ER
September 1, 2022
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Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX

Derick Strickland- Former Allstate Financial Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Houston, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 1, 2022 September 1, 2022

Derick Strickland Investigation September 2022- Houston, TX The FINRA records of Derick Montrele Strickland , a former broker with Allstate Financial Services, disclose a recent bar from the securities industry. The…

Rex Securities Law
August 31, 2022
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Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX

Annetta Box- Former Cambridge Investment Broker-Fails to Cooperate With Regulators-Barred From Securities Industry-Dallas, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 31, 2022 September 19, 2022

Annetta Marie Box Investigation August 2022- Dallas, TX The FINRA records of Annetta Marie Box , a former broker with Cambridge Investment Research Advisors, disclose a recent bar from the securities…

Rex Securities Law
August 30, 2022
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David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC

David W. Lentz-Former Kestra Broker-Has Customer Suit Seeking $2M- Alleges Churning – Kernersville, NC http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 30, 2022 August 30, 2022

David Lentz Investigation August 2022-Kernersville, North Carolina The FINRA records of David W. Lentz, a former Kestra Investment Services broker and owner of Thorium Wealth Management disclose a pending customer dispute seeking millions in damages. The Financial Industry…

Rex Securities Law
August 29, 2022
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Lance Walston- Dominion Investor Services Broker-Has Numerous Customer Suits- Horseshoe Bay, TX

Lance Walston- Dominion Investor Services Broker-Has Numerous Customer Suits- Horseshoe Bay, TX http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 29, 2022 August 29, 2022

Lance Walston/ Dominion Investor Services Investigation August 2022-Horseshoe Bay, TX According to publicly available records Lance Colby Walston, a broker who works for Dominion Investor Services, discloses six prior customer disputes.…

ER
August 29, 2022
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Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO

Bruce Amman- Former LPL Financial Broker-Suspended From Securities Industry by Regulators – Golden, CO http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 29, 2022 August 29, 2022

Bruce Amman Investigation August 2022-Golden, CO According to publicly available records Bruce Amman, a former broker who last worked for LPL Financial, discloses a final regulatory matter resulting in a one…