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Stockbroker Discharged

Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA
Irene Engard- Former PFS Investments Broker-Barred From FINRA- Federal Way, WA 150 150 Rex Securities Law

November 2020- Federal Way, WA According to publicly available records, former PFS Investments, Inc,  financial advisor Irene Engard,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is…

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Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA
Keith Thomas Lohm, Sr.-Previous Citizens Securities, Inc. Broker-Discloses Termination- Pittsburg, PA 150 150 Rex Securities Law

November  2020- Pittsburg, PA According to publicly available records  Keith Thomas Lohm, Sr. (CRD#1516728), a  former stockbroker who last worked for Citizens Securities, Inc.,  discloses a termination from employment. The…

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Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY
Richard Reynolds-Worden Capital Broker-Discloses 3 regulatory events, 11 customer disputes and a termination-Garden City, NY 150 150 Rex Securities Law

November 2020- Garden City, NY According to publicly available records Richard Foerster Reynolds (CRD#2162706), a stockbroker who works for Worden Capital Management  discloses three regulatory events, 11 customer disputes and…

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William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA
William G. Mason- Stifel Nicolaus Broker-Discloses Pending Customer Dispute -New Orleans, LA 150 150 Rex Securities Law

November 2020- New Orleans, LA According to publicly available records, a  Stifel, Nicolaus & Company broker William Geary Mason  discloses a pending customer dispute and a termination. The Financial Industry…

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Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI
Mark Hopkins- Former American Portfolios Financial Broker-Barred from Securities Industry- Discloses Regulatory Events & Customer Disputes -Grand Blanc, MI 150 150 Rex Securities Law

November 2020- Grand Blanc, MI According to publicly available records, former American Portfolios Financial Services, Inc. (APFS) ,  financial advisor Mark Lewton Hopkins,  has been barred from the securities industry by…

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Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY
Michael Mountjoy-Former LPL Financial Broker- Discloses Regulatory Event and Termination-Louisville, KY 150 150 Rex Securities Law

November 2020- Louisville, KY According to publicly available records Michael Mountjoy (CRD#4421573), an unregistered broker who last worked for LPL Financial,  discloses a regulatory event and a termination from employment.…

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Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA
Benjamin Bourgeois, Jr.-Former Commonwealth Financial Broker-Discloses Customer Disputes and a Termination-Metairie, LA 150 150 Rex Securities Law

November 2020- Metairie, LA According to publicly available records, former Commonwealth Financial Network,  financial advisor Benjamin Bourgeois, Jr.   is barred from FINRA and discloses 3 prior customer disputes, a pending…

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Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL
Rafael Golan-Former Crystal Bay Securities Broker- Permanently Barred from Securities Industry-Delray Beach, FL 150 150 Rex Securities Law

November 2020- Delray Beach, FL According to publicly available records, former Crystal Bay Securities, Inc.  financial advisor Rafael Golan,  is barred from FINRA and discloses 4 regulatory events, 4 investigations,…

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