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Selling Away

North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Rex Securities Law

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA

Thomas Murray-Wells Fargo Broker-Subject of Customer Complaint Seeking $300K- Pasadena, CA 150 150 ER

Thomas Murray Investigation July 2022-Pasadena, CA According to publicly available records Thomas Wilson Murray ,  a Wells Fargo Clearing Services broker discloses a pending customer dispute. The Financial Industry Regulatory Authority…

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Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas

Robert Turner-Former UBS Financial Broker-Discloses over $12 M in Settlements Involving Phony Annuities -Waco, Texas 150 150 ER

Robert Turner Investigation January  2023- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 7 prior customer…

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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX

Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX 150 150 ER

Travis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest),  discloses a…

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Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Rex Securities Law

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL

Glenn Brandon – Former BB&T Securities Broker- Barred from FINRA-Birmingham, AL 150 150 ER

Glenn E. Brandon Investigation May 2022- Birmingham, AL The FINRA records of  Glenn Edward Brandon,  a former broker who was last  employed by  BB&T Securities disclose a final regulatory matter resulting…

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Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT 150 150 ER

Lyle Davis Investigation May  2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered  and who was last employed…

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Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL

Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL 150 150 ER

Jorge A. Sonville Investigation April 2022- Miami, FL  The FINRA records of Jorge Sonville,  a broker with Insigneo Securities who formerly worked for Merrill Lynch,  disclose a pending customer dispute and…

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Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL

Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL 150 150 Rex Securities Law

Ariel Rivero Investigation February 2022-Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos Aires…

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