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Limited Partnerships

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC

Margaret Suite-Arnold -FSC Securities Broker- Discloses Pending Customer Dispute-China Grove, NC 150 150 ER

Margaret Suite-Arnold Investigation November 2021-China Grove, NC According to FINRA records  Margaret Suite-Arnold, a financial advisor employed as a registered broker by FSC Securities Corporation  discloses a pending customer dispute.…

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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN

Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN 150 150 ER

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services,  discloses a settled customer dispute and a pending customer…

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David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina

David C. Monckton-Former VOYA Financial Advisor-Discloses Customer Suits Over Direct Investments-Myrtle Beach, S. Carolina 150 150 Rex Securities Law

David Monckton Investigation November 2021-Myrtle Beach, S. Carolina According to publicly available records David Monckton  ,  a  stockbroker who was previously registered with Voya Financial Advisors,  disclose 3 currently pending customer disputes…

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Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York

Mark Kolta-Former National Securities Corp Broker-Subject of Customer Suits -New York 150 150 Rex Securities Law

September 2021 -Garden City , New York According to publicly available records Mark Sam Kolta ,  a   stockbroker who formerly worked for National Securities Corp.  and who  is currently registered with Worden Capital Management, disclose…

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Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN

Kurt Russell Baldry – Ausdal Financial Broker- Subject of Customer Suits Seeking $700K- Ostego, MN 150 150 ER

August 2021- Ostego, MN According to publicly recorded records, Kurt Russell Baldry,  a broker with  Ausdal Financial Services  discloses  2 pending customer disputes relating to oil and gas partnerships and…

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Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY

Bryon E. Martinsen-Centaurus Financial Broker-Discloses $9.7M Customer Suits-Kings Park, NY 150 150 Rex Securities Law

August 2021- Kings Park, NY The FINRA records of  Bryon E. Martinsen,  a  stock broker who is currently employed by Centaurus Financial  disclose 3 pending customer disputes, 7 prior customer disputes , a termination from…

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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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Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Rex Securities Law

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

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Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ

Luke M. Johnson-Former Coastal Equities Broker-Investigation Over GPB Auto Losses-Scottsdale, AZ 150 150 Rex Securities Law

March 2020-Scottsdale, AZ We are investigating  former Coastal Equities Inc. broker Luke Michael Johnson on behalf of an Arizona resident who alleges that she was sold an unsuitable investment in…

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