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ETFs Exchange Traded Funds

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM

Timothy J. Prouty- Former Morgan Stanley Broker- Discloses Customer Suit-Albuquerque, NM 150 150 Rex Securities Law

Timothy J. Prouty Investigation November 2021- Albuquerque, NM According to publicly available records,  Timothy J. Prouty, a broker previously employed with Morgan Stanley discloses a large arbitration award to a former customer…

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Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN

Bryant Caveness-Former Ameriprise Financial Broker-Discloses Customer Suits-Kingsport, TN 150 150 Rex Securities Law

Bryant Caveness Investigation November 2021-Kingsport, TN According to publicly available records,  Bryant E. Caveness, a former broker who was last employed by  Ameriprise Financial Services,  discloses  a recent regulatory matter, 3…

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Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX

Lyle J. Boudreaux-Former Independent Financial Group Broker-Sued For Losses on ETF’s-Houston, TX 150 150 Rex Securities Law

Aug 2021-Houston, TX The FINRA records of  Lyle J. Boudreaux,  a  stockbroker who is not currently registered with any FINRA broker dealer and who was last employed in the securities industry by…

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Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX

Jody Bowers-Former SagePoint Financial Broker-Subject of $6M Customer Suit Over ETF Investments-Abilene, TX 150 150 Rex Securities Law

June 2019- Abilene, Texas We are currently investigating former SagePoint Financial financial advisor Jody Bowers on behalf of an elderly widow living in North Texas, who anticipates filing a FINRA…

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Bill Lowell of Lowell & Company- Discloses $375K Settlement of Customer Suit-Lubbock, TX

Bill Lowell of Lowell & Company- Discloses $375K Settlement of Customer Suit-Lubbock, TX 150 150 Rex Securities Law

May 2019- Lubbock, Texas The FINRA records of William (“Bill”) Hamilton Lowell ,  a  financial advisor who is currently registered with Crescent Securities Group and Lowell & Company ,  disclose two prior regulatory issues and…

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Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX

Mason W. Gann-Former Berthel Fisher Broker-Subject of Customer Disputes -Sanctioned by Regulator-Dallas, TX 150 150 Rex Securities Law

October  2020- Dallas, TX The FINRA records of Mason W. Gann, a stockbroker who is not currently registered with any broker dealer and who was last employed by Berthel Fisher…

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Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK

Jay D. Jordan-Former WFG Investments Broker-Subect of $9M in Customer Claims-Oklahoma City, OK 150 150 Rex Securities Law

February 2018-Oklahoma City, OK According to publicly available records Jay D. Jordan  , (CRD# 1776666) ,  a  former stockbroker who last worked for WFG Investments  discloses that he was recently permanently barred from the securities…

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Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX

Christopher Anthony-Former Rhodes Securities Broker-Subject of $2M Customer Suit-Arlington, TX 150 150 Rex Securities Law

October 2017-Arlington, Texas The FINRA records of  Christopher P. Anthony, (CRD #1157930) a  stockbroker who is not currently  registered and who was last employed by  Rhodes Securities, Inc. , disclose a currently pending customer dispute, a prior…

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