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Misrepresentation

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Rex Securities Law

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…

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G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY

G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY 150 150 ER

G. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad ,  a Coastal Equities, Inc.  broker, disclose a 2 prior customer disputes involving alternative investments and tenant in…

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Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Rex Securities Law

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA

Craig Accardo – FSC Securities Broker- Discloses $3.5 M settlement of Customer Dispute -Metairie, LA 150 150 ER

Craig Accardo Investigation June 2023-Metairie, LA According to publicly available records Craig Accardo a FSC Securities Corporation broker discloses a prior customer dispute and a pending customer dispute. The Financial…

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John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL

John Terzis – Former LPL Financial Broker- Barred From Securities Industry by Regulators -Skokie, IL 150 150 ER

John Terzis Investigation June 2023-Skokie, IL According to publicly available records John Terzis a former broker who last worked for LPL Financial Services ,  discloses a final regulatory matter resulting in…

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Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL

Kevin Hobbs – Former Primerica Financial Services Broker- Barred From Securities Industry by Regulators -Lake Worth, FL 150 150 ER

Kevin Hobbs Investigation June 2023-Lake Worth, FL According to publicly available records Kevin Hobbs a former broker who last worked for Primerica Financial Services (PFS Investments),  discloses a final regulatory matter…

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Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY

Joseph Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator -Melville, NY 150 150 ER

Joseph F. Valdini Investigation June 2023-Melville, New York The FINRA records of Joseph F. Valdini ,  a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…

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Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA

Gina Rea Kidd- Former Allstate Financial Services Broker-Barred From Securities Industry by Regulators & Has Pending Customer Dispute -Bedford, VA 150 150 ER

Gina Rea Kidd Investigation Misrepresented Insurance Policy Benefits June 2023-Bedford, VA According to publicly available records Gina Rea Kidd a currently unregistered broker who last worked for Allstate Financial Services,  discloses…

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