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Unsuitable Investments

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX

Peter Ianace- Former Wells Fargo Broker-Subject of $18M Suit-Barred From Industry by Securities Regulator-Plano, TX 150 150 ER

Peter Ianace Investigation-Plano, TX  The FINRA records of  Peter Ianace ,  a  former financial advisor who was last employed by  Wells Fargo Clearing Services, disclose a regulatory event and three customer…

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Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York

Anthony Sica-Joseph Gunnar Broker-Subject of $750K Customer Suit-New York 150 150 Rex Securities Law

September 2021- New York The FINRA records of Anthony Sica  , a stock broker who is employed by Joseph Gunnar & Co. , disclose a pending customer suit,  3 regulatory sanctions and  3 prior…

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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Rex Securities Law

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas

Enrique Lopez-Former LPL Financial Advisor-Subject of Customer Suits-McAllen, Texas 150 150 Rex Securities Law

September 2021-McAllen, Texas The FINRA records of  Enrique Lopez,  a  broker who is currently employed by  Arkadios Capital  disclose 4 customer disputes . The Financial Industry Regulatory Authority (FINRA) is the agency…

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Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA

Efrain Truijillo -Western International Securities Broker- Sanctioned by FINRA- Los Angeles, CA 150 150 ER

September 2021- Los Angeles, CA According to publicly available records,  Efrain Balderrama Trujillo a broker employed by Western International Securities, Inc. discloses a regulatory event and a prior customer dispute.…

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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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Chad Vandenbusch – Wintrust Investments Broker- Discloses Customer Disputes – Appleton, WI

Chad Vandenbusch – Wintrust Investments Broker- Discloses Customer Disputes – Appleton, WI 150 150 ER

September 2021- Appleton, WI According to publicly available records Chad Michael Vandenbusch,  a broker with Wintrust Investments,  discloses customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

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Gilford Ward Negard- Former Newbridge Financial Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Negard- Former Newbridge Financial Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 ER

September 2021- Phoenix, AZ According to publicly available records,  Guilford Negard,  a currently unregistered  financial advisor who previously was employed by Newbridge Financial Services discloses a regulatory event , 4 prior…

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