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Securities Regulators

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL

Patrick Brown-Former Merrill Lynch Financial Advisor-Settles Customer Suit for $1.3M-Montgomery, AL 150 150 Rex Securities Law

Patrick L. Brown Investigation October 2021-Montgomery, AL According to publicly available records Ronald F. Metcalf, Jr.  ,  a  stockbroker who was previously registered with Merrill Lynch, discloses the recent resolution of a…

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NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas

NEXT Financial Group Fined by State and Federal Regulators-Houston, Texas 150 150 Rex Securities Law

NEXT Financial Group Investigation September 2021-Houston, TX Houston-based NEXT  Financial Group discloses 26 prior regulatory events, according to FINRA records. These regulatory sanctions include: July 2021-FINRA censured NEXT and assessed a…

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Thomas Stratton -Former World Choice Securities Broker-Barred from FINRA-Melbourne, FL

Thomas Stratton -Former World Choice Securities Broker-Barred from FINRA-Melbourne, FL 150 150 ER

September  2021 – Melbourne, FL According to publicly attained records, Thomas Ward Stratton, a stockbroker  who was last employed by World Choice Securities,  discloses a prior regulatory matter , a prior…

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Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Georgia Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Georgia  who have been disciplined by…

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Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Michigan Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law

Michigan Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Michigan who have been disciplined by…

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Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Ohio Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law

Ohio Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Ohio  who have been disciplined by CFP…

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Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE

Pennsylvania Certified Financial Planners Disciplined by CFP Board-SEPTEMBER 2021 UPDATE 150 150 Rex Securities Law
According to their website, the “Certified Financial Planner (CFP) Board is a non-profit organization acting in the public interest by fostering professional standards in personal financial planning through its setting and enforcement of the education, examination, experience, ethics and other requirementments for CFP. “ The CFP Board can discipline those holding the CFP title in one of three ways: Public Letter of Admonition Temporary Suspension of CFP certification Revocation of individual’s CFP certification The list below, taken from the CFP board disciplinary page of their website in April 2013, is a historical record of individuals from Pennsylvania who have been disciplined by CFP Board and does not imply that any listed discipline is currently in force. To verify an individual’s current certification status visit the CFP website here. Revocations Robert J. read more

Florida Certified Financial Planners Disciplined by CFP Board-September 2021 UPDATE

Florida Certified Financial Planners Disciplined by CFP Board-September 2021 UPDATE 150 150 Rex Securities Law

Florida Disciplined Financial Planners The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021 , is the currently published record of  Florida individuals who have been disciplined by CFP…

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