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Unsuitable Investments

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Rex Securities Law

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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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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Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Rex Securities Law

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

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Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…

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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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Attention GPB Capital Investors-How to Recover Your Losses

Attention GPB Capital Investors-How to Recover Your Losses 150 150 Rex Securities Law

How to Recover Losses on GPB Funds November 2021 GPB Alleged to be a Ponzi-Like Scheme GPB raised over $1.8 billion in high risk private placements that were sold to…

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Marc F. Korsch-Former Centaurus Financial Broker-Customers Seek Millions in Damages-Sarasota, FL

Marc F. Korsch-Former Centaurus Financial Broker-Customers Seek Millions in Damages-Sarasota, FL 150 150 Rex Securities Law

Marc Korsch Investigation November 2021-Sarasota, FL The FINRA records of  Marc F. Korsch ,   a  former stockbroker who was once employed by  Centaurus Financial  disclose 6 pending customer disputes, 6 prior customer disputes…

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John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY

John Lowry- Spartan Capital Broker- Subject of Regulatory Complaint-New York, NY 150 150 Rex Securities Law

November 2021- New York, NY The FINRA records of  John Dennis Lowry ,  a  financial advisor  employed by  Spartan Capital Securities disclose a pending regulatory matter, 2 pending customer disputes and…

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David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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