fbpx

FINRA

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…

read more

William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA

William Calvert-UBS Broker- Discloses Pending Customer Dispute Involving Options Overlay Strategy-Los Angeles, CA 150 150 ER

September 2021 – Los Angeles, CA According to publicly available records William S. Calvert,  a broker with UBS Financial discloses a customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

read more

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston

David A Lavine-Former UBS Broker- Discloses Customer Dispute-Houston 150 150 Rex Securities Law

August 2021  According to publicly available records David Alan Levine (CRD#4895654) ,  a  former stockbroker  who last worked for UBS Financial discloses 2 prior regulatory events, 2 prior customer disputes, a…

read more

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL

Charles Bonilla-Former David Lerner Broker-Sanctioned Over Energy LP Sales – Boca Raton, FL 150 150 Rex Securities Law

July 2021- Boca Raton, FL According to publicly available records Charles Bonilla (CRD#2572107), a broker who formerly worked for  David Lerner Associates, discloses a regulatory resulting in a suspension and fine…

read more

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes

Brokerage Firm Joseph Gunnar Discloses Regulatory Issues and Customer Disputes 150 150 Rex Securities Law

July 2021-NYC Brokerage firm Joseph Gunnar & Co. was founded in 1997 and is headquartered in New York City. According to their website they have 250 financial consultants with eight…

read more

Kurt Gunter-Former Stifel Nicolaus Broker-Sanctioned Over UIT Sales-Austin, TX

Kurt Gunter-Former Stifel Nicolaus Broker-Sanctioned Over UIT Sales-Austin, TX 150 150 Rex Securities Law

November 2020- Austin, TX  According to his FINRA record  Kurt Jason Gunter a financial advisor currently employed by Wells Fargo Clearing Services has recently been sanctioned by FINRA for unsuitable…

read more

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD

Bradley Mascho-Former Western International Securities Broker- Charged with Securities Fraud- Frederick, MD 150 150 Rex Securities Law

November 2019 – Frederick, MD The FINRA records of Bradley Mascho  , a currently unregistered stockbroker who was last employed by  Western International Securities, discloses 2 regulatory events , a criminal event, a civil event,…

read more

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL

Jack D. Stone-Former Forest Securities Broker-Discloses Customer Disputes & Regulatory Issues-Hillside, IL 150 150 Rex Securities Law

September 2019 – Hillside, IL The FINRA records of Jack David Stone  , a former stockbroker who was last employed by  Forest Securities, Inc. , disclose 4 regulatory events, 1 pending customer dispute, 2 prior customer…

read more

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY

Michael Giokas-Former Fortune Financial Services-Broker-Pleads Guilty to Fraud-Williamsville, NY 150 150 Rex Securities Law

September 2019- Williamsville, NY According to publicly available records  Michael Giokas (CRD# 1398674) ,  a  former stockbroker who was last  employed by Fortune Financial Services, Inc.,  disclose  2 prior regulatory events, a…

read more