Walter Reyna Investigation September 2022- McAllen, Texas According to FINRA records, Walter J. Reyna , a former Lincoln Financial Securities broker discloses two recently filed arbitrations by customers seeking damages for losses on…
read moreTony Lofaso Investigation July 2022- West Palm Beach, FL According to FINRA records, Tony Lofaso , a J.W. Cole Financial, Inc., broker discloses a recently settled customer dispute. The Financial Industry Regulatory…
read moreVince Mastrovito Investigation March 2022- Charlevoix, MI The FINRA records of Vince Mastrovito, a broker who formerly worked for J.W. Cole Financial, Inc. and Cambridge Investment Research disclose 2 pending customer…
read moreFebruary 2019-Wimberley, Texas The FINRA records of William (Bill) Glenn Downing , a former stock broker who was last employed by Coastal Equities Inc. disclose a prior regulator event, a pending customer dispute,…
read moreUPDATE-May 2015 Oelbermann was permanently barred by FINRA for failing to respond to a FINRA request for information. Link to Oelbermann’s FINRA record. On October 24, 2014, the Florida Office…
read moreIn July 2014, the Financial Industry Regulatory Authority (FINRA) fined former LPL Financial broker Richard D. Lewis $5,000 and suspended him for 20 business days for making over 80 discretionary…
read moreOn October 17. 2013, the Tampa Bay Business Journal reported that a fine of nearly a quarter million dollars has been assessed against Joseph Brandon Westphal, a former manager…
read moreFINRA Announces February 2013 Disciplinary ActionsBy Robert H. Rex, Esq. The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and…
read moreFINRA Announces December 2012 Disciplinary Actions The Financial Industry Regulatory Authority (FINRA) issues a report on disciplinary and other actions involving registered brokers, investment advisers and brokerage firms every month. Here…
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