fbpx

Waddell & Reed

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO

Spenser Sullivant- Former Waddell & Reed Broker-Suspended for 18 Months -St. Louis, MO 150 150 Rex Securities Law

December 2020-St. Louis, MO According to publicly available records of Spenser William Sullivant (CRD#6524062) ,  a  former stockbroker who is currently unregistered who worked for Waddell & Reed,  discloses a regulatory…

read more

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX

Neal Moon-Former Waddell & Reed Broker-Discloses Settlement and Termination from Employment-Dallas, TX 150 150 Rex Securities Law

April 2017-Dallas, TX  According to publicly available records Neal Charles Moon, (CRD#3271716) ,  a  stockbroker who is not currently registered and who last was employed by  Waddell & Reed  discloses a prior regulatory event, a prior…

read more

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX

Neal & Natalie Moon-Former Waddell & Reed Brokers-Named in Regulatory Complaint-Dallas, TX 150 150 Rex Securities Law

July 2016- Dallas, TX FINRA Department of Enforcement filed Disciplinary Proceeding 2015046926801 against Neal Charles Moon (CRD 3271716) and his wife Natalie E. Fogiel Moon (CRD 5010360) alleging that from…

read more

William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

read more

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry

Dominic DeBruin-Former LPL Financial Broker-Barred From Securities Industry 150 150 Rex Securities Law

November 2016-Mesa, AZ The FINRA records of  Dominic T. DeBruin,  a  former stockbroker with LPL Financial,  disclose that he has been permanently barred from acting as a broker or otherwise associating with…

read more

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft

Gregory Bauer-Former H. Beck Broker-Barred from Securities Industry for Theft 150 150 Rex Securities Law

October 2016-Moon Township, PA The FINRA records of  Gregory R. Bauer,  a  former stockbroker who most recently was  employed by  H. Beck, Inc.  disclose a final regulatory event and a termination from employment. The Financial Industry Regulatory…

read more

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX

Paul Jacobs-Former Caldwell Securities Broker-Discloses Regulatory Action-Austin, TX 150 150 Rex Securities Law

October 2017-Austin, Texas According to FINRA records,  Paul Jacobs,   a stockbroker who is currently  employed by Cape Securities, discloses  a prior regulatory sanction . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses…

read more

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice

Ryan Boggs-Former Broker With MNR Executions-Discloses Receipt of Wells Notice 150 150 Rex Securities Law

Chicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…

read more

This site is protected by wp-copyrightpro.com