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International Assets Advisory LLC

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX

Cecil Allen Ross-Former LPL Financial Broker-Discloses Regulatory Event and Customer Dispute-San Angelo, TX 150 150 Rex Securities Law

April 2020-San Angelo, TX According to publicly available records of Cecil Allen Ross (CRD#2391047) ,  a  former stockbroker who last worked for LPL Financial,  discloses  a regulatory event and a customer…

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Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL

Charles Bloom- Former Chelsea Financial Services Broker-Barred From Securities Industry- Royal Palm Beach, FL 150 150 Rex Securities Law

October 2018- Royal Palm Beach, FL Publicly available records disclose that Charles Lewis Bloom,  a former stockbroker who was previously employed by Chelsea Financial Services, discloses 3  regulatory events and a currently…

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Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL

Damian Bell -Prior WFG Investments, Inc. Broker-Discloses Customer Disputes-Daphne, AL 150 150 Rex Securities Law

September  2017 – Daphne, AL According to publicly available records Damian M. Bell  (CRD#2348521) ,  a  stockbroker who was previously employed by WFG (Williams Financial Group) Investments, Inc. ,  disclose 2 pending and 5…

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Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading

Steven Ridgley, Waddell & Reed Broker, Sanctioned for Unauthorized Trading 150 150 Rex Securities Law

March 23, 2016-Louisville, KY Steven D. Ridgley  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  while employed by Waddell…

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Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry

Former FSC Securities Broker In Grapevine, TX, Barred From Securities Industry 150 150 Rex Securities Law

April 10, 2015-Grapevine, Texas  James E. Scott , entered into an Order Accepting Offer of Settlement (Order) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he aided and abetted…

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FINRA Files Complaint Vs. Fort Worth Broker James Elward Scott

FINRA Files Complaint Vs. Fort Worth Broker James Elward Scott 150 150 Rex Securities Law

On July 14, 2014, the Financial Regulatory Authority (FINRA) Department of Enforcement filed a complaint against James Elward Scott of Fort Worth, Texas, alleging that assisted an individual in the recommendation…

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Regulators Fine/Suspend International Assets Advisory Broker Joseph Beagnyam

Regulators Fine/Suspend International Assets Advisory Broker Joseph Beagnyam 150 150 Rex Securities Law

Dickinson, Texas The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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