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Stockbroker Discharged

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX
Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX 150 150 Rex Securities Law

April 2018- El Paso, Texas According to FINRA records,  Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…

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Florence Simeon-Former Alexander Capital Stockbroker-Discloses Termination from Employment for Document Alteration-New York
Florence Simeon-Former Alexander Capital Stockbroker-Discloses Termination from Employment for Document Alteration-New York 150 150 Rex Securities Law

April 2018- New York According to FINRA records,  Florence M. Simeon , who is currently employed by Sunstreet Securities, discloses that on April 27, 2016, she was ‘permitted to resign’ from Alexander Capital.…

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Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX
Greg Smith/Pastor Kirbyjon Caldwell Indicted On Chinese Bond Scam-Shreveport,LA-Houston,TX 150 150 Rex Securities Law

April 2018-Shreveport, LA Shreveport resident Gregory Alan Smith, 55, and Kirbyjon H. Caldwell, 64, of Houston, TX, were indicted by a federal grand jury in a 13 count indictment for…

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Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY
Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY 150 150 Rex Securities Law

January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed  by NEXT Financial Group , disclose  that he was barred by securities regulators, a recent…

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Martin Brooks-Former Cetera Advisors Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO
Martin Brooks-Former Cetera Advisors Broker-Discloses Settlement of $490K Customer Dispute-Lee’s Summit, MO 150 150 Rex Securities Law

March 2018- Lee’s Summit, MO The FINRA records of Martin Earl Brooks , a stockbroker who is currently employed  by United Planners Financial Services of America , disclose a prior final customer dispute, a recent…

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Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX
Vicente Davila-Former Morgan Stanley Broker-Discloses Sanction/Customer Complaint/Discharged From Employment-Houston, TX 150 150 Rex Securities Law

March 2019- Houston, TX The FINRA records of Vicente Davila, a former stockbroker who was last employed by Morgan Stanley , disclose a recent regulatory sanction, a recently resolved customer dispute,  and a…

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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX
Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Rex Securities Law

Mason Gann Investigation September  2022- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed…

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Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah
Brandon Stimpson-Former Allegis Investment Broker-Ordered to Pay Customer $400,000 For Option Trading-Logan, Utah 150 150 Rex Securities Law

March 2018-Logan, Utah An all public FINRA arbitration panel recently orderedand former Allegis broker Brandon C. Stimpson to pay a former client over $400,000 for losses suffered on the buying…

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