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Unregistered Securities

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 PFS Investments Broker-Barred From Securities Industry-San Antonio,TX
Derrick R. Trussell-Former PFS Investments Broker-Barred From Securities Industry-San Antonio,TX 150 150 ER

Derrick  Trussell Investigation November 2021-San Antonio, TX According to publicly available records Derrick R Trussell,  a  former stockbroker who last worked for PFS Investments Inc. discloses a regulatory event, a criminal charge,…

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Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM
Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Rex Securities Law

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY
Douglas Szempruch -Former Aegis Capital Corp. Broker-Suspended by FINRA-Melville, NY 150 150 ER

Douglas Szempruch Investigation Former Aegis Capital Financial Advisor November 2021 – Melville, NY According to publicly attained records, Douglas Szempruch, a stockbroker who is not currently registered  and who was last…

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Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist
Riek Capital/RIEK Capital Distributors-Texas Securities Regulator Issues Cease & Desist 150 150 Rex Securities Law

September 2021- Austin, TX  Texas Securities Commissioner  Travis J. Iles, of the Texas State Securities Board entered an emergency cease and desist order to stop Riek Capital (aka Riek Capital Investment, aka…

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Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX
Jason Poff-Allstate Financial Services-Discloses Customer Complaint & Suspension-Houston, TX 150 150 Rex Securities Law

September 2021- Houston, TX According to his FINRA record  Jason H. Poff , a financial advisor employed by Allstate Financial Services  discloses a final regulatory investigation resulting in suspension and…

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John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL
John Westbrook – Former Center Street Securities Broker- Discloses Regulatory Event, Customer Dispute and a Termination- Jackson Gap, AL 150 150 ER

September 2021- Jackson Gap, AL According to publicly available records John Westbrook,  a currently unregistered broker who previously was employed by Center Street Securities,  discloses a regulatory event, a pending…

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Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO
Daniel T. Levine- Former Morgan Stanley Broker- Barred from Industry-Has Customer Suits-Greenwood Village, CO 150 150 ER

August 2021- Greenwood Village, CO According to publicly available records,  Daniel Todd Levine broker previously employed with Morgan Stanley discloses 3 prior regulatory events, 2 pending customer disputes and 2 terminations from…

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