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Stockbroker Discharged

Craig R. Wirth Discloses Discharge From SWS Financial
Craig R. Wirth Discloses Discharge From SWS Financial 150 150 Rex Securities Law

Addison, Texas According to FINRA records,  Craig R. Wirth ,   a stockbroker who currently works for Cambridge Investment Research.   discloses  an Employment Separation After Allegation event. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Brooke A. Clements Discloses Discharge From Merrill Lynch
Brooke A. Clements Discloses Discharge From Merrill Lynch 150 150 Rex Securities Law

Greenwood Village, Colorado According to FINRA records, Brooke A. Clements,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2015 , discloses that he was discharged from Merrill Lynch in…

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Mark C. Quale-Discharged by First Financial Equity Corp.
Mark C. Quale-Discharged by First Financial Equity Corp. 150 150 Rex Securities Law

Scottsdale, AZ According to FINRA records, Mark C. Quale,  a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…

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John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO
John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO 150 150 Rex Securities Law

Greenwood Village, Colorado According to FINRA records, John J. Avey,  a broker who has been  registered  with First Financial Equity , since  1/2016  , discloses a termination and 2 prior customer disputes that…

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Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim
Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Rex Securities Law

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

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Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry
Miguel A. Hernandez-Former Thrivent StockBroker-Barred From Securities Industry 150 150 Rex Securities Law

El Paso, Texas According to FINRA records, Miguel A. Hernandez ,  a broker who was formerly  registered  with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…

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Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock
Rafael Santiago-Former COR Clearing Broker-Discloses $495,000 Customer Dispute Over Sale of VGTEL Stock 150 150 Rex Securities Law

UPDATE AUGUST 2016-FINRA records disclose that a customer of COR Clearing has filed FINRA arbitration 16-2100 alleging damages of $778,119 for recommending worthless securities and fraud. UPDATE JULY 2016-FINRA records…

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Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration
Stockbroker Richard E. Poston of Plano, Texas Discharged By H. Beck, Inc.-Named in Arbitration 150 150 Rex Securities Law

September 2019- Plano, Texas According to FINRA records, Richard E. Poston, a broker who formerly worked for H. Beck, Inc. in Plano, Texas , was discharged in December 2015  for failing…

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Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas
Investacorp Broker Discharged for Failure to Follow Firm Policy-Austin, Texas 150 150 Rex Securities Law

Austin, 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 and disputes…

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