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Forgery

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN

Robert Nordaune-Former Thrivent Investment Broker-Discloses Regulatory Event and Termination-Montevideo, MN 150 150 Rex Securities Law

October 2020- Montevideo, MN According to publicly available records Robert Nordaune (CRD#2313216), a  former stockbroker who last worked for Thrivent Investment, Inc.,  discloses a regulatory event and a termination from…

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Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA

Gerald Eaton-Former Commonwealth Broker Barred from FINRA-Terminated After Allegations of Forgery-Waltham, MA 150 150 Rex Securities Law

June 2020- Waltham, MA The FINRA records of Gerald Allan Eaton  , a former stock broker who was last employed  by  Commonwealth Financial Network , disclose a regulatory event resulting in his bar from the securities…

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Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX

Michael Christians-Former Morgan Stanley Broker-Discloses Regulatory Investigation-Plano, TX 150 150 Rex Securities Law

June 2018- Plano, TX The FINRA records of Michael S. Christians  , a stock broker who is not currently registered and who was last employed by Morgan Stanley , disclose a currently pending regulatory event,…

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William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL

William Merriam IV – Former Merrill Lynch Broker- Barred from Securities Industry- Jacksonville, FL 150 150 Rex Securities Law

October 2017 – Jacksonville, FL According to publicly available records William  H. Merriam IV, (CRD#5222110) , a  former stockbroker who was last employed by Merrill Lynch , disclose  a prior regulatory event and a termination…

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William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT

William F. Garbarino-Former Lincoln Financial Broker-Barred From Securities Industry-Danbury, CT 150 150 Rex Securities Law

September 2017 – Danbury, CT According to publicly available records  William F. Garbarino (CRD#730278) , a former stockbroker  who was most recently employed by Lincoln Financial Advisors , disclose a termination from employment and…

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Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ

Jill Cody (Tramontano)-Former Concorde Investment Services Broker-Barred From Securities Industry-Spring Lake, NJ 150 150 Rex Securities Law

September 2017 According to publicly available records Jill M. Cody , (CRD# 4333419) ,  a  former stockbroker who last worked for Concorde Investment Services  , has numerous disclosures:  1 prior regulatory events 8…

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Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide

Jean Walsh-Josephson -Former Thrivent Investment Management Broker & Husband Die In Murder-Suicide 150 150 Rex Securities Law

February 2017-Oshkosh, Wisconsin According to US News, the sheriff of Winnebago County reports that former Thrivent Investment Management stock broker Jean A. Walsh-Josephson and her husband, Dewey Josephson,  were found…

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Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry

Kevin Hudak-Former Foothill Securities Broker-Barred From Securities Industry 150 150 Rex Securities Law

November 2016-Albuquerque, NM The FINRA records of  Kevin Hudak,  a  former stockbroker last employed in the industry by Foothill Securities , was permanently barred from acting as a broker or otherwise associating with firms…

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