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Unsuitable Investments

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK

Curt Wilson- Former Securities America/ChangePath LLC Broker-Discloses $250K Settlement of Customer Dispute Involving Option Trading- Tulsa, OK 150 150 ER

Curt Wilson Investigation July 2023- Tulsa, OK The FINRA records of  Curtis “Curt” Wilson,   a currently unregistered broker who was previously employed with  Securities America , disclose settlement of customer disputes. The…

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David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN

David Geake – Former Madison Ave/Ausdal Financial Broker- Barred from FINRA -Discloses Millions in Customer Settlements -Whiting, IN 150 150 ER

David Geake Investigation July 2023 – Whiting, IN According to publicly available records  David Geake discloses 11 prior customer disputes settled for more than $2.2 million and pending customer disputes…

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Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA

Gregory Sain – Former Stifel Nicolaus Broker- Discloses Prior Customer Settlements – Beverly Hills, CA 150 150 ER

Gregory Sain Investigation June 2023 – Beverly Hills, CA According to publicly available records  Gregory Sain ,  a broker  who was previously registered with Stifel Nicolaus and is now with Morgan…

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Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC

Centaurus Broker Atul Makharia Subject of Regulatory Sanctions/ Customer Complaints Over Sale of Variable Interest Rate Structured Products- Lexington, SC 150 150 Rex Securities Law

Atul Makharia Investigation Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Atul Makharia, currently employed by Centaurus Financial, disclose a  regulatory event, 9 prior customer disputes and…

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Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC

Centaurus Broker Ricky Alan Mantei Subject of Numerous Customer Complaints Ordered to Cease and Desist- Lexington, SC 150 150 ER

Ricky Alan Mantei Investigation Former JP Turner & Centaurus Customers Have Sued for Damages-Sold Variable Interest Rate Structured Products July 2023-Lexington, SC The FINRA records of Ricky Alan Mantei, currently employed by…

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G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY

G. Russell Conrad-Coastal Equities Broker-Discloses Two Prior Customer Disputes- Lewiston, NY 150 150 ER

G. Russell Conrad Investigation July 2023-Lewiston, New York The FINRA records of G. Russell Conrad ,  a Coastal Equities, Inc.  broker, disclose a 2 prior customer disputes involving alternative investments and tenant in…

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Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales

Madison Avenue Securities Fined By Texas Securities Regulators Over GPB Automotive Sales 150 150 Rex Securities Law

Texas Regulators Fine Madison Avenue Securities GPB Automotive Portfolio, LP    June 2023- Austin, Texas San Diego based Madison Avenue Securities was fined $20,000 by the Texas State Securities Board…

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Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA

Timothy Connor – LPL Financial Broker- Has Pending Customer Dispute -Redwood City, CA 150 150 ER

Timothy Connor Investigation June 2023 – Redwood City, CA According to publicly available records  Timothy Connor, of  LPL Financial , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…

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Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA

Angelo Anello – LPL Financial Broker- Discloses Customer Disputes Over Structured Products-Needham, MA 150 150 ER

Angelo Anello Investigation June 2023 – Needham, MA According to publicly available records  Angelo Anello ,  a broker with LPL Financial discloses a prior customer dispute and 2 pending customer disputes. …

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