Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL

Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 20, 2020 May 20, 2020

May 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…

Rex Securities Law
April 21, 2020
No Comments

Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX

Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 21, 2020 April 30, 2020

April 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed by NYLife Securities, disclose a regulatory event resulting in his bar from the securities industry. The Financial…

Rex Securities Law
February 17, 2020
No Comments

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA

Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 17, 2020 February 17, 2020

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant , a former stock broker who last worked for M Holdings Securities, Inc. , disclose a regulatory event resulting in a bar from the securities…

Rex Securities Law
May 16, 2019
No Comments

Pamela Jo Lizanich (Kramer)-Former VOYA Financial Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Greenville, S. Carolina

Pamela Jo Lizanich (Kramer)-Former VOYA Financial Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Greenville, S. Carolina https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 16, 2019 October 6, 2020

October 2020-Greenville, S. Carolina According to publicly available records Pamela Jo Lizanich (Pamela Jo Kramer) , a stockbroker who is currently registered with NY Life Securities, disclose 4 currently pending…

Rex Securities Law
April 2, 2019
No Comments

Ashley Woodard-Former VOYA Financial Broker-Subject of Customer Suits Over Illiquid Investments-Greenville, South Carolina

Ashley Woodard-Former VOYA Financial Broker-Subject of Customer Suits Over Illiquid Investments-Greenville, South Carolina https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 2, 2019 October 6, 2020

October 2020 – Greenville, South Carolina According to publicly available records Ashley Charles Woodard , a stockbroker previously employed by VOYA Financial, discloses 4 pending customer disputes, six prior customer dispute…

Rex Securities Law
October 31, 2018
No Comments

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 31, 2018 October 31, 2018

October 2018- Tarkio, Missouri The FINRA records of David R. Colflesh , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a regulatory suspension and 18 prior…

Rex Securities Law
September 16, 2018
No Comments

Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN

Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2018 January 25, 2019

Updated January 2019- Fort Wayne, Indiana The FINRA records of Alan Harold New , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending civil matter…

Rex Securities Law
July 19, 2018
No Comments

Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana

Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 19, 2018 July 19, 2018

July 2018- Fort Wayne, Indiana The FINRA records of Joel Vincent Flaningan , a former stock broker who is not currently registered and who was last employed by NYLife Securities , disclose a pending customer dispute involving…

Rex Securities Law
April 29, 2017
No Comments

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY

David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 29, 2017 September 21, 2019

September 2019-Port Washington, NY-Tampa, FL The FINRA records of David S. Silberg , a broker who previously worked for Aegis Capital Corp. disclose a prior regulatory event, 3 prior final customer disputes and…