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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 150 150 Rex Securities Law

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…

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Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL

Michael Sloan-Wintrust Investments Broker-Discloses Customer Dispute Over Non-Traded REITs -St. Charles, IL 150 150 ER

Micheal Sloan Investigation May 2022- St. Charles, IL According to FINRA records,  Michael Peter Sloan,  a Wintrust Investments broker disclose a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX

Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX 150 150 ER

Lyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…

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George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Rex Securities Law

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD

Lee Rycraft-Former LPL Financial Broker-Discloses a Termination of Employment- Watertown, SD 150 150 ER

Lee Rycraft Investigation May 2022-Watertown, SD The FINRA records of Lee Rycraft,  an unregistered broker, previously employed with LPL Financial, discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

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Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX

Gregg Ferguson- Former LPL Financial Broker- Discloses Pending Customer Dispute & Regulatory Sanction -Bellville, TX 150 150 Rex Securities Law

Gregg Ferguson Investigation May 2022- Bellville, TX  According to publicly available records, Howell Gregory “Gregg” Ferguson, an LPL Financial broker discloses a regulatory sanction and a pending customer dispute. The…

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Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI

Robert David-Former Morgan Stanley Broker-Discloses Multiple Customer Disputes -Farmington Hills, MI 150 150 ER

Robert David Investigation May 2022- Farmington Hills, MI According to FINRA records,  Robert C. David, Jr.  ,  a broker  who previously worked for Morgan Stanley , discloses a regulatory event,…

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