fbpx

Lincoln Financial

Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX

Walter Reyna-Former Lincoln Financial Securities Broker-Customers Sue Over Oil & Gas Losses-McAllen, TX 150 150 Rex Securities Law

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 more

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX 150 150 ER

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records,  Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX ,  discloses…

read more

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX

Jose M. Canales-Former Lincoln Financial Broker/Agent-Barred From Securities Industry-El Paso, TX 150 150 Rex Securities Law

April 2018- El Paso, Texas According to FINRA records,  Jose M. Canales , a currently unregistered broker who last worked for Lincoln Financial Securities Corp. , discloses a prior final regulatory event, a…

read more

Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA

Christian J. Stoltz-Centaurus FInancial Broker-Discloses Customer Disputes-Forty Fort, PA 150 150 Rex Securities Law

August 2016- Forty Fort, PA The FINRA records of  Christian J. Stoltz,  a  stock broker who is currently employed by Centaurus Financial  disclose  a currently pending customer dispute and a prior customer dispute. The Financial…

read more

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment

Douglas C. Robb-Former Cuso Financial Services Broker-Discloses Termination From Employment 150 150 Rex Securities Law

Port Chester, New York According to FINRA records,  Douglas C. Robb, Jr. ,   a stockbroker who was recently employed by Cuso Financial Services , discloses  a termination. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

read more

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry

Jose Canales-El Paso Insurance Agent/Stockbroker-Barred from Securities Industry 150 150 Rex Securities Law

August 20, 2014- El Paso, Texas Jose M. Canales , a broker with Lincoln Financial Securities Corporation, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority…

read more

Former Lincoln Financial Broker Jose M. Canales Sanctioned By FINRA-El Paso

Former Lincoln Financial Broker Jose M. Canales Sanctioned By FINRA-El Paso 150 150 Rex Securities Law

To resolve allegations that he failed to respond to a FINRA regulatory investigation related to the handling of customer funds, Jose Martin Canales of El Paso, TX, was barred from…

read more

Independent Broker Dealer Rankings Announced by Investment News

Independent Broker Dealer Rankings Announced by Investment News 150 150 Robert H. Rex

The Investment News recently announced the rankings of independent broker-dealers for 2013 BrokerDealer                   Gross Revenue  1            LPL Financial LLC      …

read more

Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft

Hugh Hunsinger -Former Lincoln Financial Advisors Broker Sued by FINRA-$1 Million Theft 150 150 Rex Securities Law

 Pinebrook, New Jersey 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…

read more