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Stockbroker Discharged

John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD
John S. Simpson – Former RBC Capital Markets Broker-Discloses $11M Customer Suit- Hunt Valley, MD 150 150 Rex Securities Law

June 2017- Hunt Valley, MD According to publicly available records John Scott Simpson  (CRD#719367) ,  a  former stockbroker who was last employed by  RBC Capital Markets,   discloses one regulatory event, a currently pending…

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Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ
Cullen Kempson-Former Commonwealth Financial Network Broker-Discloses Regulatory Event & Discharge From Employment-Sparta, NJ 150 150 Rex Securities Law

May 2017- Sparta, NJ According to publicly available records V. Cullen Kempson III (CRD#1280887) ,  a  stockbroker currently registered with American Portfolios Financial Services, Inc discloses a prior regulatory event and a termination from employment. The…

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Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL
Michael Jump-Former Investment Planners Inc. Broker-Discloses Customer Disputes/Termination-Somonauk, IL 150 150 Rex Securities Law

June 2017-Somonauk, IL According to publicly available records Michael A. Jump  (CRD#1146669) ,  a  stockbroker currently registered with Chelsea Financial Services  discloses 2 regulatory events, four customer disputes and a termination. The Financial Industry Regulatory…

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Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL
Jarred M Lawson – Former Merrill Lynch Broker-Discloses Termination and Suspension-Jacksonville, FL 150 150 Rex Securities Law

June 2017 – Jacksonville, FL The FINRA records of Jarred M. Lawson,  a  stockbroker who is currently not registered disclose a final regulatory event and a termination. The Financial Industry Regulatory Authority…

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Mack L. Miller-Former Dawson James Securities Broker-Discloses Separation from Employment-NY
Mack L. Miller-Former Dawson James Securities Broker-Discloses Separation from Employment-NY 150 150 Rex Securities Law

May 2017-New York The FINRA records of  Mack L. Miller  ,  a  stockbroker who is currently  registered with Spartan Capital Securities  disclose two  prior customer disputes, a separation from employment and 2 currently outstanding judgment/liens . The…

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Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX
Patrick D. Combs-Former Morgan Stanley Broker-Discloses Customer Dispute and Suspension by FINRA-Southlake, TX 150 150 Rex Securities Law

May 2017-Southlake, TX The FINRA records of  Patrick D. Combs  ,  a  stockbroker who is currently suspended by FINRA and who was last registered with IMS Securities disclose a pending customer dispute, a final regulatory event…

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Michael J. Romanelli-Former Nomura Securities Broker-Discloses Termination from Employment-New York
Michael J. Romanelli-Former Nomura Securities Broker-Discloses Termination from Employment-New York 150 150 Rex Securities Law

May 2017-New York The FINRA records of  Michael J. Romanelli  ,  a  stockbroker who is currently registered with Stormharbour Securities disclose a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York
George B. Medina-CV Brokerage Inc Broker-Discloses Termination From Employment-New York 150 150 Rex Securities Law

May 2017-New York The FINRA records of  George B. Medina ,  a  stockbroker who is currently registered with CV Brokerage Inc. disclose a termination from employment and outstanding judgment/liens . The Financial Industry Regulatory Authority (FINRA) is…

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