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Summit Brokerage Services

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL

Investigation of Ameriprise Broker Norm Robbins -Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL  We are investigating Ameriprise Financial Services financial advisor Norman (Norm) Robbins. According to publicly available records, Norm Robbins discloses  a prior regulatory matter,  2 pending customer disputes and…

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Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA

Moe Azizi-Centaurus Financial Broker-Discloses Customer Disputes-San Jose, CA 150 150 Rex Securities Law

July 2021-San Jose, CA According to publicly available records.  Marco “Moe” Azizi (CRD#2154719), a broker employed with Centaurus Financial, Inc.,  discloses 1 pending and 4 prior customer disputes. The Financial…

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Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA

Marco Bartolo Azizi-Centaurus Financial, Inc. Broker-Discloses Pending Customer Disputes- San Jose, CA 150 150 Rex Securities Law

January 2020 – San Jose, CA The FINRA records of Marco Bartolo Azizi, a stockbroker who is currently employed by  Centaurus Financial, Inc., disclose  2 pending customer disputes. The Financial Industry Regulatory…

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Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO

Robert Edward Burns- Cetera Broker-Discloses Customer Disputes-Greenwood Village, CO 150 150 Rex Securities Law

January 2020- Greenwood Village, CO The FINRA records of Robert Edward Burns, a stockbroker employed by  Cetera Advisor Networks , disclose a pending customer dispute and  a prior customer dispute. The Financial Industry…

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Cetera Advisors Charged With Defrauding Retail Clients

Cetera Advisors Charged With Defrauding Retail Clients 150 150 Rex Securities Law

September 2019 Cetera Advisors, a registered investment advisor and broker-dealer based in Denver, Colorado, was charged by the Securities and Exchange Commission (SEC) with breaching its fiduciary duty and defrauding…

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Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL

Summit Brokerage Services Sanctioned for Churning Accounts-Boca Raton, FL 150 150 Rex Securities Law

July 2019-Boca Raton, FL Wealthmangement.com reports that Summit Brokerage Services, an independent broker dealer headquartered in Boca Raton, FL,  will close it doors and roll its business up into an…

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Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT

Robert Berg-Summit Brokerage Services Broker-Discloses Customer Dispute Alleging Aggressive Trading- Danbury, CT 150 150 Rex Securities Law

March 2019 – Danbury, CT According to publicly available records  Robert Eugene Berg   (CRD#1218879) ,  a  stockbroker who is currently registered with Summit Brokerage Services,  disclose 1 pending and 2 prior customer disputes.…

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Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL

Ronald D. Clark-Summit Brokerage Services Broker-Discloses Pending Customer Disputes Involving REIT/Oil & Gas -Tampa, FL 150 150 Rex Securities Law

March 2018 – Tampa, FL According to publicly available records , Ronald D. Clark , (CRD# 1086724) ,  a  stockbroker who is employed by Summit Brokerage Services,  disclose  2 prior regulatory events, 2 pending customer…

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Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA

Thomas Bodensteiner-Former VSR Financial Services Broker-Subject of Customer Suit Over Losses in UDF IV-Clear Lake, IA 150 150 Rex Securities Law

February 2018 – Clear Lake, Iowa The FINRA records of  Thomas W. Bodensteiner ,  a  stockbroker who was previously  employed by  VSR Financial Services  discloses a pending customer dispute . The Financial Industry…

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