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JJB Hilliard WLL Lyons

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY

John Dunn Gordinier – Broker With J.J.B. Hilliard, W.L. Lyons – Discloses $100K Settlement of Customer Suit- Louisville, KY 150 150 Rex Securities Law

October 2019- Louisville, KY According to publicly available records John Dunn Gordinier (CRD#2363965) ,  a  stockbroker  currently registered with J.J.B. Hilliard, W.L. Lyons  discloses a  recently settled customer dispute involving energy investments.…

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Jon L. Cox of LPL Financial Named In Complaint by Securities Regulator

Jon L. Cox of LPL Financial Named In Complaint by Securities Regulator 150 150 Rex Securities Law

November 25,2014-Knoxville, TN The Financial Industry Regulatory Authority (FINRA) filed a Disciplinary Complaint against Jon L. Cox, who was registered with LPL Financial from 5/2011 until he was terminated for…

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Maxwell B. Smith Sentenced to 15 Years for Securities Fraud

Maxwell B. Smith Sentenced to 15 Years for Securities Fraud 150 150 Rex Securities Law

In July 2013, former New Jersey broker Maxwell B. Smith III, age 73, of Fair Haven, was sentenced to 15 years after pleading guilty to first-degree money laundering. Smith operated…

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