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Stockbroker Discharged

Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment
Philip Brisard-Former Ridgeway & Conger Broker-Discloses Pending Regulatory Matter and Termination from Employment 150 150 Rex Securities Law

Jericho, New York According to FINRA records,  Philip Brisard ,   a stockbroker who formerly worked for  Ridgeway & Conger   discloses a pending regulatory matter, 4 final customer disputes and a termination from employment. The Financial Industry…

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Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry
Tonya M. White-Former Edward Jones Broker-Permanently Barred From Securities Industry 150 150 Rex Securities Law

Oklahoma City, OK According to FINRA records,  Tonya M. White (aka Tonya M. Nix)  ,   a stockbroker who formerly worked for Edward Jones  discloses a final regulatory matter and a separation from employment after…

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Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading
Glen Rauch-Former Avenir Financial Broker-Accused of Harassment and Unauthorized Trading 150 150 Rex Securities Law

UPDATE SEPTEMBER 2016-FINRA named Glen J. Rauch in a complaint alleging that following his termination from registration(see below) he repeatedly sent abusive, obscene, intimidating and threatening messages to a principal of…

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Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ
Eric W. Harding-Former Wells Fargo Broker-Discloses Terminations-Scottsdale, AZ 150 150 Rex Securities Law

UPDATE APRIL 2017–United Planners Financial Services of America discloses that Eric W. Harding was discharged 10/2016 for “Failure to follow firm procedures and repay amounts owed to the firm.” ORIGINAL…

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Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment
Matthew J. Streckenbach-Former Pruco Broker- Discloses Discharge from Employment 150 150 Rex Securities Law

Green Bay, WI According to FINRA records,  Matthew J. Streckenbach ,  a stockbroker  who currently works  for Packerland Brokerage Services ,  discloses  a termination from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that…

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Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute
Ari M. Baum-Former Morgan Stanley Broker-Discloses Discharge & Pending Customer Dispute 150 150 Rex Securities Law

New York According to FINRA records,  Ari M. Baum ,  a stockbroker  who currently works  for Prospera Financial Services , discloses  a termination from employment and a currently pending customer dispute The Financial Industry Regulatory Authority…

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Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension
Rhonda J. Matthews-Former Prospera Financial Broker-Discloses Suspension 150 150 Rex Securities Law

Austin, Texas According to FINRA records,  Rhonda Janeen Matthews (aka Rhonda Allen)  ,  a former stockbroker  who most recently worked  for Prospera Financial Services , discloses  a  regulatory event, a termination and 2 outstanding…

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