fbpx

Unauthorized Trading

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

read more

Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA

Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA 150 150 ER

September 2021- Los Angeles, CA According to publicly available records,  Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…

read more

John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL

John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

read more

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX 150 150 ER

August 2021- Spring, TX According to publicly available records,  Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and…

read more

Investigation of Jefferies Financial Advisor Ariel Rivero -Miami, FL

Investigation of Jefferies Financial Advisor Ariel Rivero -Miami, FL 150 150 Rex Securities Law

Ariel Rivero Investigation-Investigacion Ariel Rivero September 2021- Miami, Florida We are investigating Jefferies LLC financial advisor Ariel A. Rivero (CRD #4236679) on behalf of a client. Our client, who resides in…

read more

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL

Nathan Katz- Former American Independent Securities Broker- Discloses Regulatory Event and Customer Suits-Largo, FL 150 150 Rex Securities Law

September 2021- Largo, FL  According to publicly available records,  Nathan G. Katz a former financial advisor who was previously registered with American Independent Securities Group, discloses a regulatory event barring him from…

read more

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY

Joseph Ambrosole- Former Joseph Stone Capital Advisor- Discloses Regulatory Events, 2 Customer Disputes and an IRS Lien – New York, NY 150 150 ER

August 2021- New York, NY According to publicly available records,  Joseph Ambrosole a currently unregistered financial advisor who last worked for Joseph Stone Capital, discloses 4 prior regulatory events a…

read more

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA

Ronald Pullman- Former Trustmont Financial Group Broker- Discloses 3 Regulatory Events and 2 Terminations- Carnegie, PA 150 150 ER

August 2021- Carnegie, PA According to publicly available records,  Ronald V. Pullman a currently unregistered financial advisor who was previously registered with Trustmont Financial Group, discloses 3 prior regulatory events…

read more