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AXA Advisors

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX

Travis Hughes of Hughes Financial Group-Discloses Numerous Customer Suits-El Paso, TX 150 150 Rex Securities Law

January 2019-El Paso, Texas According to publicly available records   Travis Jerome Hughes , a  stockbroker who is currently registered with Cetera Advisors  disclose a currently pending customer dispute, 11 prior customer disputes and…

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Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX

Celia Mae Scott-LPL Financial Broker- Discloses Settlement of Customer Dispute-Beaumont, TX 150 150 Rex Securities Law

November 2018-Beaumont, TX According to publicly available records Celia Mae Scott , (CRD# 2870484) ,  a  stockbroker who was previously registered with AXA Advisors,  disclose the settlement of a customer dispute .  The…

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Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment

Bryan O. Eberle-Former LPL Financial Broker-Discloses 2 Terminations From Employment 150 150 Rex Securities Law

August 2016- Marlton, NJ The FINRA records of  Bryan O. Eberle,  a  stock broker who is currently employed by Client One Securities  disclose  two terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency…

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Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX

Jetmir Ahmeti- Former Edward Jones Broker-Discloses Discharge and Regulatory Sanctions-Richardson, TX 150 150 Rex Securities Law

Richardson, Texas UPDATE APRIL 2017–Jetmir Ahmeti is not currently registered with any broker dealer according to FINRA records.  Ahmeti was discharged from Edward Jones 5/2015. The firm made the following allegation…

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Former Cambridge Investment Research Broker Charged with Felony

Former Cambridge Investment Research Broker Charged with Felony 150 150 Rex Securities Law

August 19, 2015, Francesco Puccio , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he would not provide documents and…

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StockBroker Sanctioned for Mutual Fund Churning

StockBroker Sanctioned for Mutual Fund Churning 150 150 Rex Securities Law

August 4,2015 Ronald J. Benevento of Holbrook, NY,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he engaged in…

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Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX

Brian M. White -Former Hornor/Townsend/Kent Broker-Barred from Securities Industry-Woodlands, TX 150 150 Rex Securities Law

June 30, 2015 A FINRA Department of Enforcement Hearing Panel made a decision that Brian Michael White engaged in undisclosed outside business activities and  provided false testimony to FINRA staff in…

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Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities

Houston Couple Awarded $1.1 Million Against Broker Terry Chilton for Losses on Annuities 150 150 Rex Securities Law

May 15, 2015-Houston, Texas A FINRA (Financial Industry Regulatory Authority) arbitration panel in Houston, Texas, awarded over $1.1 million to a couple who filed a claim alleging that the annuities…

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Phil Williamson Charged in South Florida Securities Fraud

Phil Williamson Charged in South Florida Securities Fraud 150 150 Rex Securities Law

June 1, 2015 Phil D. Williamson, 48, of Miami, Florida, was charged with investment advisor fraud according to an FBI Press Release which reports that he raised over two million…

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