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Unauthorized Trading

Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ

Eddy Torriente-Comerica Securities Broker- Subject of $50M Unauthorized Trading Suit- Scottsdale, AZ 150 150 Rex Securities Law

William Torriente Investigation November 2021- Mt. Dora, Florida According to publicly available records,  William “Eddy” Torriente, Jr. ,  a financial advisor previously employed by Comerica Securities, discloses two pending customer disputes.…

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Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL

Gregory Collier-Raymond James Broker- Discloses Settlement of Unauthorized Trading Complaint- Mt. Dora, FL 150 150 Rex Securities Law

Gregory Collier Investigation November 2021- Mt. Dora, Florida According to publicly available records,  Gregory C. Collier, Sr. ,  a financial advisor employed by Raymond James Financial Services, Inc., discloses two customer…

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Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY

Daniel James O’Neill-Aegis Capital Corp. Financial Advisor-Has Regulatory Event, Customer Suits, a Termination and Liens-Melville, NY 150 150 ER

Daniel James O’Neill Investigation Former Aegis Capital Financial Advisor November 2021-Melville, NY According to publicly available records Daniel J. O’Neill,  a  former stockbroker registered with Aegis Capital Corporation, disclose a…

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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY

Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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Ariel Rivero Investigation–Jefferies Financial Advisor -Miami, FL

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

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

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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…

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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.…

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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…

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