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Unregistered Securities

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient

LPL Financial Broker Steals More Than $1 Million From Ninety Seven Year Old Dementia Patient 150 150 Rex Securities Law

LPL Financial Broker Steals $1 Million + From Dementia Patient October 2022 A 97 year old lady, currently under the care of a court-appointed guardian due to her dementia is…

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Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL

Kenneth New- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Merritt Island, FL 150 150 Rex Securities Law

Kenneth New/Center State Securities/GWG L-Bond Investigation   October 2022- Merritt Island, FL  According to publicly available records Kenneth J. New,  a broker employed by Center Street Securities,  discloses several customer disputes,…

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Glenn Romer- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Vero Beach, FL

Glenn Romer- Center Street Securities Broker-Facing Suit Over GWG L-Bond Losses – Vero Beach, FL 150 150 Rex Securities Law

Glenn Romer/GWG L-Bond Investigation   October 2022- Vero Beach, FL  According to publicly available records Glenn J. Romer,  a broker employed by Center Street Securities,  discloses several customer disputes, including a…

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Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA

Morgan Hill – Center Street Securities Broker-Customer Sues Over GWG L-Bond Losses – Woodstock, GA 150 150 Rex Securities Law

Morgan Darby Hill/GWG L-Bond Investigation   October 2022- Woodstock, GA  According to publicly available records Morgan Darby Hill,  a broker formerly employed by Center Street Securities,  discloses a pending customer suit…

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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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