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March 27, 2023
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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ 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 27, 2023 March 27, 2023

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…

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March 27, 2023
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Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY 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 27, 2023 March 27, 2023

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

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March 27, 2023
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Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL

Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, 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 27, 2023 March 27, 2023

Dean Nowak Investigation March 2023- Winter Park, FL According to publicly available records Dean Nowak, a broker previously employed by Newbridge Securities Corporation, discloses 5 pending customer disputes. The Financial Industry…

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March 27, 2023
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Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, 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 March 27, 2023 March 27, 2023

Monica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…

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March 22, 2023
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Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, TX

Justin Anderson – Former CUSO Financial Services Broker-Barred From Securities Industry by Regulators -Austin, 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 March 22, 2023 March 22, 2023

Justin Anderson Investigation March 2023- Austin, TX According to publicly available records Justin A. Anderson, a former broker who last worked for CUSO Financial Services, discloses a final regulatory matter resulting…

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March 22, 2023
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Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, TX

Ellen Reynard- Former Raymond James Broker-Discloses Regulatory Suspension and Termination from Employment- Beaumont, 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 March 22, 2023 March 22, 2023

Ellen Reynard Investigation March 2022-Beaumont, TX The FINRA records of Ellen Gayle Reynard, a broker previously employed by Raymond James Financial Services , disclose a regulatory matter and a termination from employment.…

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March 22, 2023
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John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, TX

John Michael Palombo- Former Merrill Lynch Broker-Suspended Indefinitely by Securities Regulator – Austin, 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 March 22, 2023 March 22, 2023

John Michael Palombo Investigation March 2022-Austin, TX The FINRA records of John Michael Palombo , a former broker previously employed by Robert W. Baird & Co. , disclose a final regulatory matter .…

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March 14, 2023
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Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, TX

Jeff Graves- Cetera Advisors Networks Broker -Discloses Pending Customer Dispute and Termination- Addison, 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 March 14, 2023 March 14, 2023

Jeff Graves Investigation March 2023- Addison, TX According to publicly available records Jeffrey Scott Graves, a broker currently employed by Cetera Advisors Networks Inc., discloses a regulatory event. The Financial Industry Regulatory…

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March 14, 2023
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Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, TX

Brian Test-Avantax Investment Services Broker-Discloses Regulatory Event and a Termination from Employment- Frisco, 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 March 14, 2023 March 14, 2023

Brian Test Investigation March 2022-Frisco, TX The FINRA records of Brian Test , a broker currently employed by Avantax Investment Services, Inc. , disclose a regulatory matter, a final customer dispute, and a…

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