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March 8, 2023
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Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC

Brett Rutherford- Capital Investment Broker- Discloses $100K Customer Dispute over GWG Investments -Morehead City, NC https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

Brett Rutherford Investigation March, 2023 – Raleigh, NC The FINRA records of Brett Rutherford, a Capital Investment Group, Inc. broker, disclose a pending customer dispute involving GWG Holdings Inc.. The Financial Industry…

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March 8, 2023
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John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL

John Moy- Newbridge Securities Broker- Discloses Customer Disputes and Two Terminations From Employment- Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

John Moy Investigation March 2023-Boca Raton, FL The FINRA records of John Kirkland Moy, an Newbridge Securities Corporation broker, discloses 3 final customer disputes, a pending customer dispute and two terminations from employment.…

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March 8, 2023
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John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL

John Zaffarano-Newbridge Securities Broker- Discloses Pending $185K Customer Dispute – Boca Raton, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 8, 2023 March 8, 2023

John Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…

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February 27, 2023
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Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX

Corrie Ann Mitchell-Former Cambridge Investment Research Broker- Barred from FINRA -San Antonio, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Corrie Mitchell Investigation February 2023 – San Antonio, TX According to publicly attained records, Corrie Mitchell, a stockbroker who was last employed by Cambridge Investment Research, Inc, discloses that she was…

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February 27, 2023
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Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK

Karen Shaw Cunningham- Kestra Advisory Services Broker-Discloses Pending Customer Dispute- Oklahoma City, OK https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Karen Cunningham Investigation February 2023- Oklahoma City, OK According to publicly available records Karen Shaw Cunningham, a broker employed by Kestra Advisory Services, discloses a pending customer dispute. The Financial…

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February 27, 2023
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Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX

Cliff Higgs- Securities Management and Research Broker-Discloses Customer Dispute – Denton, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Cliff Higgs Investigation February 2023- Denton, TX According to publicly available records Clifton “Cliff” Paul Higgs, a broker employed by Securities Management and Research, Inc., discloses a customer dispute. The Financial…

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February 27, 2023
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William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX

William Huthnance- UBS Broker- Discloses 3 Prior and 3 Pending Customer Disputes- Houston, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

William Huthnance Investigation February 2023-Houston, TX The FINRA records of William Huthnance, a UBS Financial Services broker, discloses 2 past customer disputes and 2 customer disputes. The Financial Industry Regulatory Authority (FINRA) is the…

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February 27, 2023
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Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX

Jon Ellefson- Intervest International Equities Broker-Discloses over 900K In Settlements and Pending Customer Disputes Involving GWG Bonds- Harker Heights, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Jon Ellefson Investigation February 2023- Harker Heights, TX According to publicly available records Jon Ellefson a broker employed by Intervest International Equities Securities, discloses three settled customer disputes and two…

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February 27, 2023
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Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX

Jennifer White Marcontell- Ameriprise Financial Broker-Discloses Customer Dispute – Mont Belvieu, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g February 27, 2023 February 27, 2023

Jennifer W. Marcontell Investigation February 2023- Mont Belvieu, TX According to publicly available records Jennifer White Marcontell a broker employed by Ameriprise Financial Services, discloses a final customer dispute. The Financial…

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