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Misrepresentation

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ

Dale Ramsperger – Former Securities America Broker- Discloses Regulatory Event and a Termination- Scottsdale, AZ 150 150 ER

Dale A. Ramsperger Investigation October 2021- Scottsdale, AZ According to publicly available records Dale Ramsperger,  a broker who last worked for  DMK Advisor Group and prior to that Securities America, …

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NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Thomas Stratton -Former World Choice Securities Broker-Barred from FINRA-Melbourne, FL

Thomas Stratton -Former World Choice Securities Broker-Barred from FINRA-Melbourne, FL 150 150 ER

September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter , a prior…

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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist

Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Rex Securities Law

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX

Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Rex Securities Law

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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