fbpx

Theft

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX

Doug McKelvey- Former Morgan Stanley Broker-Accused of Misappropriating Customer Funds-Southlake, TX 150 150 Rex Securities Law

Doug McKelvey Investigation September 2022-Southlake, TX  According to publicly available records Douglas M. McKelvey a former broker who was employed by Morgan Stanley ,  discloses a recent regulatory matter, a prior…

read more

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA

Lynn Cawthorne -Former Cambridge Investment Research Broker- Sentenced to Federal Prison for Wire Fraud-Shreveport, LA 150 150 Rex Securities Law

Lynn Cawthorne- Former Cambridge Investment Broker Sentenced for Wire Fraud August 2022-Shreveport, LA Shreveport Times photo of Lynn Cawthorne According to publicly available records, Lynn Dale Cawthorne, a former broker,…

read more

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ

Philip Riposo- Former United Planners’ Financial Services Broker-Barred From Securities Industry by Regulators -Scottsdale, AZ 150 150 ER

Philip Riposo Investigation July 2022-Scottsdale, AZ According to publicly available records Philip Riposo a former broker who last worked for United Planners’ Financial Services,  discloses a final regulatory matter resulting in a…

read more

Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX

Robert Turner-Former UBS Financial Services Broker-Discloses over $5.5M in Settlements -Waco, TX 150 150 ER

Robert Turner Investigation July 2022- Waco, Texas According to publicly available records Robert Turner , (CRD# 2113736 ),  a  stockbroker who formerly worked  with UBS Financial Services, Inc.   discloses 4 prior customer…

read more

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX

Jon Scheier -Former Edward Jones Broker-Barred From Securities Industry by Regulators – Denison, TX 150 150 ER

Jon Scheier Investigation July 2022-Denison , TX  According to publicly available records Jon Scheier , a former broker who last worked for Edward Jones,  discloses a final regulatory matter resulting in a…

read more

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN

Bill Woods -Former Raymond James Broker-Discloses over $3M in Pending Customer Dispute-Chattanooga, TN 150 150 ER

      Bill Woods aka                  William Forrest Winchester Investigation June 2022- Chattanooga, TN According to publicly available records Bill Woods (aka…

read more

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Rex Securities Law

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

read more

Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey

Mario Rivero Investigation -Former Wells Fargo Broker-Red Bank, New Jersey 150 150 Rex Securities Law

Mario E. Rivero Investigation March 2022-Red Bank, New Jersey We are investigating former Wells Fargo financial advisor Mario E. Rivero, Jr. According to FINRA records Mario Rivero discloses a recent bar…

read more