fbpx

Stockbroker Discharged

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute

Matthew J. Westfall-Former Securities America Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

February 2017-Grand Isle, NE According to publicly available records Matthew J. Westfall , (CRD# 1112977) ,  a   stockbroker who is not currently registered, discloses a pending customer dispute, a discharge from…

read more

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III

LPL Financial Ordered to Pay $3.7M Over Variable Annuity Sales-Polaris Platinum III 150 150 Rex Securities Law

UPDATE Jan 2017– LPL Financial  ordered to pay up to $3.7 million in restitution and fines as a result of an investigation into sales of unsuitable variable annuities by former…

read more

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL

David H. Fagenson-Former UBS Broker-Discloses Suspension, Termination and Customer Disputes-Palm Beach, FL 150 150 Rex Securities Law

December 2018-Palm Beach, FL According to publicly available records David H. Fagenson , (CRD# 1652012) ,  a  stockbroker who is currently registered with Newbridge Securities disclose a recent regulatory sanction, 2 pending customer disputes, 9…

read more

Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX

Christian L. Webb-Former LPL Financial Broker-Discloses Termination-Austin, TX 150 150 Rex Securities Law

OCTOBER 2017 UPDATE-Christian Webb is not currently registered as a broker. See this for more.  November 2016-Austin, Texas According to publicly available records Christian L. Webb , (CRD# 1161075) ,  a  stockbroker who is…

read more

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX

Ronald Dunn-Former Pruco Securities Broker-Indicted for Theft-N Richland Hills, TX 150 150 Rex Securities Law

North Richland Hills, Texas Ronald T. Dunn, a former stockbroker who previously worked for PruCo Securities, was indicted in Tarrant County, TX, for theft of property between $100,000 and $200,000.…

read more

William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

read more

Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX

Stuart G. Dickinson-Former WFG Investments Broker-Barred by Securities Regulagtor-Highland Park, TX 150 150 Rex Securities Law

November 2016-Highland Park, Texas The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints…

read more

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment

Ronald D. Henson-Former Voya Financial Broker-Discloses Discharge From Employment 150 150 Rex Securities Law

January 2017- Longview, Texas According to publicly available records Ronald D. Henson , (CRD# 1748328) ,  a  stockbroker who is currently employed by LaSalle St. Securities,  disclose a separation from employment after allegations. The…

read more

John S. Bixby-Former Ameritas Investment Broker-Discloses Discharge and Customer Disputes

John S. Bixby-Former Ameritas Investment Broker-Discloses Discharge and Customer Disputes 150 150 Rex Securities Law

January 2017-Lincoln, NE According to publicly available records   John S. Bixby,  a  stockbroker currently employed by Drexel Hamilton,  discloses a  separation from employment after allegations and two finalized customer disputes. The Financial…

read more

This site is protected by wp-copyrightpro.com