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Unregistered Securities

Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ

Christopher Wright – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Prescott, AZ 150 150 Rex Securities Law

Christopher Wright Investigation   September 2022- Prescott, AZ  According to publicly available records Christopher Wright,  a broker employed by Center Street Securities,  discloses a pending customer suit involving an investment in…

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North Carolina Securities Regulators Latest Enforcement News September 2022

North Carolina Securities Regulators Latest Enforcement News September 2022 150 150 Rex Securities Law

Securities Enforcement Actions  Securities Division- North Carolina Secretary of State   Raleigh, North Carolina-September 11, 2022 Founders of Fake “Hedge Fund” Plead Guilty to $4 Million Ponzi Scheme– Charlotte, N.…

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John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY

John LoPinto -Former Worden Capital Management Broker- Sanctioned for Excessive Trading- New York, NY 150 150 ER

John LoPinto Investigation May 2022- New York, NY The FINRA records of John LoPinto,  a currently unregistered broker who was last employed by Worden Capital Management,  disclose  2 regulatory events and 3…

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Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT

Lyle Davis -Former Wilson-Davis Broker-Suspended by FINRA-Salt Lake City, UT 150 150 ER

Lyle Davis Investigation May  2022 – Salt Lake City, UT According to publicly attained records, Lyle W. Davis, a stockbroker who is not currently registered  and who was last employed…

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Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL

Jorge Sonville-Former Merrill Lynch Broker-Discloses $4M Pending Customer Dispute- Miami, FL 150 150 ER

Jorge A. Sonville Investigation April 2022- Miami, FL  The FINRA records of Jorge Sonville,  a broker with Insigneo Securities who formerly worked for Merrill Lynch,  disclose a pending customer dispute and…

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Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL

Ariel Rivero Investigation -Former Jefferies LLC Broker-Miami,FL 150 150 Rex Securities Law

Ariel Rivero Investigation February 2022-Miami, Florida, USA /Buenos Aires, Argentina We are investigating former Jefferies LLC financial advisor Ariel A. Rivero on behalf of a client residing in Buenos Aires…

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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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Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX

Brad Brooks-Titan Securities Broker-Discloses Regulatory Investigation-Addison, TX 150 150 Rex Securities Law

Brad Brooks Investigation November 2021- Addison, Texas The FINRA records of  Brad C. Brooks ,  a   broker who is employed by  Titan Securities  disclose a currently pending regulatory investigation, 6 prior final customer…

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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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