Unauthorized Trading

John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM
John Rochester- Morgan Stanley Broker- Subject of $600K Customer Suit-Santa Fe, NM 150 150 Rex Securities Law

John Rochester Investigation November 2021- Santa Fe, NM According to publicly available records,  John A. Rochester, a broker with Morgan Stanley discloses a recently filed customer arbitration seeking damages of $600,000. The…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX
Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC
Andrew “Andy” Durham- Former Allstate Financial Services Broker- Suspended by Regulator -Greenwood, SC 150 150 ER

Andrew “Andy” Durham Investigation November  2021-Greenwood, SC According to publicly available records. Andy T. Durham , a stockbroker formerly employed by Allstate Financial Services  discloses a regulatory suspension. The Financial Industry…

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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY
William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…

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Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ
Maxim Beliakov- Former Garden State Securities Broker- Suspended by Regulator for Churning-Red Bank, NJ 150 150 Rex Securities Law

Maxim Beliakov Investigation November  2021-Red Bank, NJ According to publicly available records. Maxim Beliakov , a stockbroker formerly employed by Garden State Securities and Woodstock Financial Group  discloses a regulatory suspension. The…

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Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX
Derrick R. Trussell-Former Primerica Broker-Barred From Securities Industry Over Tom Carter Investment Sales-San Antonio,TX 150 150 ER

Derrick  Trussell Tom Carter Investment Program Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. (Primerica) discloses a regulatory…

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Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO
Greg Williams-Former Forta Financial Advisor-Subject of Customer Suits Seeking Millions-Greenwood, CO 150 150 Rex Securities Law

Greg Williams Investigation November 2021-Greenwood, CO According to publicly available records,  Gregory Jon Williams, a former broker who was last employed by  Fort Finanical Group,  discloses  6 pending and  3 prior…

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Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN
Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Rex Securities Law

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY
David Murray-Former Worden Capital/ Laidlaw & Co. Broker- Subject of Churning Suits- Melville, NY 150 150 Rex Securities Law

David M. Murray Investigation  November  2021- Holmdel, NJ According to publicly available records David Murray (CRD#1870050), a stockbroker currently employed with  Monmouth Capital Management LLC,  discloses 3 pending and 3 prior…

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