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Promissory Notes

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,…

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David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI

David Ferwerda-Former Signator Investors Broker-Sanctioned Over Woodbridge Mortgage Fund Sales-Grand Rapids, MI 150 150 Rex Securities Law

March 2019- Grand Rapids, MI The FINRA records of  David Carl Ferwerda ,  a  former stock broker who is not currently registered and who was last employed by Signator Investors ,  disclose  a regulatory bar from the…

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Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Rex Securities Law

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX

Jerry Raines -Former Signal Securities Broker-Customers Sue For $4M Losses on Woodbridge Funds-Kilgore,TX 150 150 Rex Securities Law

May 2018- Kilgore, TX The FINRA records of  Jerry D. Raines,  a  previously registered stock broker who was last employed by HD Vest Investment Services and Signal Securities,  disclose  eleven  pending customer disputes involving the allegedly…

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Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX

Donna Barnard-Former Signal Securities Broker-Subject of $4M Woodbridge Fund Suits-Kilgore, TX 150 150 Rex Securities Law

May 2018- Kilgore, TX The FINRA records of  Donna L. Barnard ,  a  stock broker formerly employed by HD Vest Investment Services and Signal Securities,  disclose  10  pending customer disputes involving the allegedly fraudulent Woodbridge Mortgage Investment…

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Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ

Michael J Blake-Former Ameritas Investment Corp. Broker-Disclose Numerous Customer Disputes Over Promissory Note Sales-Paradise Valley, AZ 150 150 Rex Securities Law

March 2018-Paradise Valley, AZ The FINRA records of  Michael J. Blake ,  a  stockbroker who is currently unregistered and who last was employed by  Mid Atlantic Capital Corp. disclose 2 prior regulatory…

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SEC Files Action Over Verto Notes-Dallas & Plano, Texas

SEC Files Action Over Verto Notes-Dallas & Plano, Texas 150 150 Rex Securities Law

July 2017-Dallas and Plano, Texas Two Texas firms and three individuals employed by the firms were named in an enforcement proceeding filed by the U.S. Securities and Exchange Commission over…

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Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA

Hemant Kathuria-Euro Pacific Capital Broker-Discloses Customer Arbitration Over Private Placement Investments-El Segundo, CA 150 150 Rex Securities Law

May 2017- El Segundo, CA The FINRA records of  Hemant Kathuria ,  a  stockbroker who is currently employed by  Euro Pacific Capital disclose 1 pending customer dispute and 3 prior final customer disputes. The Financial Industry Regulatory…

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Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA

Terrell Lady-Former VSR Financial Services Broker-Discloses Settlement of Alt Investment-Williamsburg, VA 150 150 Rex Securities Law

April 2017-Williamsburg, VA The FINRA records of  Terrell Calvin Lady ,  a  stockbroker who is currently  employed by  DFPG Investments  disclose a prior final customer dispute. The Financial Industry Regulatory Authority (FINRA) is the agency…

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