Unauthorized Trading Archives - Page 5 of 33

ER
May 3, 2022
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Raul J Benitez- Wells Fargo Clearing Broker- Discloses Customer Disputes – Aventura- FL

Raul J Benitez- Wells Fargo Clearing Broker- Discloses Customer Disputes – Aventura- FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 3, 2022 May 3, 2022

Raul J. Benitez Investigation May 2022-Aventura, FL According to publicly available records. Raul Jorge Benitez, a broker with Wells Fargo Clearing Services. discloses 3 prior customer disputes and a pending…

ER
April 7, 2022
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Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA

Steven Musielski – Former Cambria Capital Broker-Barred From Industry by Securities Regulator-Anaheim, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 7, 2022 April 7, 2022

Steven Musielski Investigation April 2022- Anaheim, CA The FINRA records of Steven D. Musielski , a former financial advisor who was last employed by Cambria Capital, disclose a regulatory event, a…

ER
April 6, 2022
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David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ

David Melilli- Former Cambridge Investment Broker-Barred From Industry by Securities Regulator-Moorestown, NJ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 6, 2022 April 6, 2022

David Melilli Investigation April 2022- Moorestown, NJ The FINRA records of David J. Melilli , a former financial advisor who was last employed by Cambridge Investment Research and Sagepoint Financial, Inc.,…

ER
March 31, 2022
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Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC

Craig Sherman-Former Wynston Hill Capital Broker- Sanctioned for Account Churning- Fletcher, NC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 March 31, 2022

Wynston Hill Capital Craig Sherman Investigation March 2022-Fletcher, NC The FINRA records of Craig Jay Sherman a broker who formerly worked for Wynston Hill Capital, discloses a recent final regulatory…

ER
March 31, 2022
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Felipe Henao Vargas- Former Insigneo Securities Broker- $1 Million Settlement on Short Trading Case-Miami, FL

Felipe Henao Vargas- Former Insigneo Securities Broker- $1 Million Settlement on Short Trading Case-Miami, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 March 31, 2022

Felipe Henao Vargas Investigation March 2022- Miami, FL According to publicly available records, Felipe Henao Vargas (aka Felipe Henao) , a currently unregistered broker who was last employed by Insigneo Securities,…

ER
March 31, 2022
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Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay

Ignacio Erhart Del Campo- Former Insigneo Securities Broker- Sanctioned for Making Trades in Deceased Customer’s Account – Montevideo, Uruguay https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2022 March 31, 2022

Ignacio Erhart Del Campo Investigation March 2022- Montevideo, Uruguay The FINRA records of Ignacio Erhart Del Campo , a former stockbroker who was last employed by Insigneo Securities. , discloses 2 regulatory events and a…

ER
March 30, 2022
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Gustavo Miramontes-Oppenheimer Broker-Discloses 5 Final and 5 Pending Customer Disputes – Los Angeles, CA

Gustavo Miramontes-Oppenheimer Broker-Discloses 5 Final and 5 Pending Customer Disputes – Los Angeles, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 30, 2022 March 30, 2022

Gustavo Miramontes Investigation March 2022 – Los Angeles, CA According to publicly available records Gustavo Miramontes, a stockbroker with Oppenheimer & Co., discloses 5 prior customer disputes, 5 pending customer…

ER
March 29, 2022
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Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY

Joseph Giordano and Roberto Birardi- Aegis Capital Brokers- Suspended by Regulator over Millions in Excess Trading Costs-Melville, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 29, 2022 March 29, 2022

Joseph M. Giordano and Roberto Birardi / Aegis Capital Investigation March 2022-Greenwood, SC According to publicly available records Joseph M. Giordano and Robert Birardi, stockbrokers who are currently employed by…

Rex Securities Law
March 21, 2022
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Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY

Joseph F. Valdini-Former Aegis Capital Broker-Barred From Securities Industry by Regulator & Customer Suits-Melville, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 21, 2022 March 21, 2022

Joseph F. Valdini Investigation March 2022-Melville, New York The FINRA records of Joseph F. Valdini , a former stock broker who was last employed in the industry by Aegis Capital Corp. , disclose a regulatory matter,…