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Unauthorized Trading

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ

Harold Bin Cho- Merrill Lynch Broker- Discloses $1.8M Customer Settlement- Short Hills, NJ 150 150 ER

Harold Bin Cho Investigation August, 2022 – Short Hills, NJ The FINRA records of Harold Bin Cho a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose a prior customer…

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Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC

Shadi Barakat- Spartan Capital Broker-Discloses Customer Suits-NYC 150 150 Rex Securities Law

Shadi Barakat Investigation August 2022 -New York The FINRA records of  Shadi Taysir Barakat,  a  stock broker who is currently employed by Spartan Capital Securities disclose 3 regulatory events,  a currently pending customer dispute, 3…

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J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account

J.P. Morgan Fined by Regulator for Abusing Grandmother’s Account 150 150 Rex Securities Law

J.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…

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Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX

Mark A. Kemp Investigation-McNally Financial Services Broker-Corpus Christi, TX 150 150 Rex Securities Law

Mark Kemp Investigation October 2022 – Corpus Christi, Texas According to publicly available records Mark A. Kemp  (CRD#2057200) ,  a  stockbroker who currently works for San Antonio-based McNally Financial Services Corp. ,  discloses a prior regulatory…

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Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX

Lyle Boudreaux- Former Independent Financial Group Advisor-Discloses Over $500K in Settlements With Customers- Houston, TX 150 150 ER

Lyle Boudreaux Investigation July, 2022 – Houston, TX The FINRA records of Lyle J. Boudreaux a former broker who was previously employed by Independent Financial Group, discloses a regulatory event ,…

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Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX

Jason Tarver- Merrill Lynch Broker- Discloses $2 Million Settlement With Customer- Frisco, TX 150 150 ER

Jason Tarver Investigation May, 2022 – Frisco, TX The FINRA records of Jason Tarver a  broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute. The…

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Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX

Shaun Hayes Investigation-Former Merrill Lynch Broker-Subject of Mulitiple Customer Complaints Alleging Unauthorized Trading-Fort Worth, TX 150 150 Rex Securities Law

Shaun Hayes Investigation May 2022-Fort Worth, TX  According to publicly available records Shaun Eugene Hayes ,  a  stockbroker who is currently unregistered and who last was employed by Merrill Lynch discloses…

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William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA

William “Bill” Poulter- LPL Financial Broker- Discloses Pending Customer Dispute Over Alternative Investment -Baton Rouge, LA 150 150 ER

William “Bill” Poulter Investigation May 2022- Baton Rouge, LA According to publicly available records, William John Poulter, an LPL Financial broker discloses a pending customer dispute. The Financial Industry Regulatory…

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