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Misrepresentation

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC

James T. Flynn-Former VOYA Broker-More Than $19 Million Paid Out to Disgruntled Former Clients-Greenville, SC 150 150 Rex Securities Law

James Travis Flynn Investigation May 2023-Greer , SC/ Greenville, SC Over the past 4 years we have  successfully obtained significant damages for several dozen former customers of  James Travis Flynn,…

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Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe

Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe 150 150 Rex Securities Law

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA

Kimberley Nuessmann – Former Securities America Advisor Discloses a Regulatory Event-Redwood City, CA 150 150 ER

Kimberly Nuessmann Investigation April 2023 -Redwood City, CA Kimberly Nuessmann, an unregistered stockbroker who was previously registered with Securities America, Inc.  discloses a regulatory event on her FINRA record. The…

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Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN

Jon Pyne-Berthel Fisher Financial Advisor Discloses Settlement of Customer Suits-Plymouth, MN 150 150 Rex Securities Law

Jon Pyne Investigation April 2023 -Plymouth, MN Jonathan Todd Pyne (aka Jon Pyne )  ,a  stockbroker who is currently registered with Berthel Fisher & Co. Financial Services discloses 8 prior final…

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Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX

Texas Securities Regulator Cracks Down on Fraudulent Artificial Intelligence Investment Scheme-Austin, TX 150 150 Rex Securities Law

Fraudulent Artificial Intelligence Investment Scheme Target of Texas Securities Regulator Austin, TX-April 2023 The Texas State Securities Board (TSSB) issued an emergency Cease and Desist Order against Bucharest, Romania based…

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Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA

Heath Goldstein-Western International Securities Broker-Three prior and Six Pending Customer Suits- Clarks Summit, PA 150 150 ER

Heath Goldstein Investigation   April 2023-Clarks Summit, PA According to publicly available records Heath Gary Goldstein,  a broker employed by Western International Securities discloses $821,209 in final customer disputes and multiple pending customer…

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Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA

Robert D’Agosta- IBN Financial Broker-Discloses $700,000+ in Customer Disputes- Bethlehem, PA 150 150 ER

Robert D’Agosta Investigation March 2023- Bethlehem, PA The FINRA records of   Robert D’Agosta, an IBN Financial Services, Inc. broker,  disclose a a regulatory event, an arbitration award and 3 prior customer disputes.…

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John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA 150 150 Rex Securities Law

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million   According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…

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Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL

Robert Melberth- Emerson Equity Securities Broker-Facing 12M+ in Customer Suits- Sarasota, FL 150 150 ER

Robert Melberth Investigation   March 2023-Sarasota, FL According to publicly available records Robert Wyla Melberth,  a broker employed by Emerson Equity,  discloses multiple customer disputes seeking more than $12 million in damages.…

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