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Discretionary Trading

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN

Scott D. Williams-Former LPL / Raymond James Broker- Discloses Termination For Discretionary Trading & Customer Suit for Churning- Franklin, TN 150 150 Rex Securities Law

October 2020 – Franklin, TN The FINRA records of Scott Douglas Williams, who last worked for LPL Financial is not currently registered as a broker,  disclose  a pending customer dispute, 2 prior…

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Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL

Charles Lawrence-Former R.F. Lafferty Broker-Barred From Industry For Exploitation of Elderly Customer- Palm Harbor, FL 150 150 Rex Securities Law

January 2020 -Palm Harbor, Florida The FINRA records of  Charles Joseph Lawrence,  a  former stockbroker who was last employed by  R. F. Lafferty & Co.  disclose a final regulatory matter resulting…

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Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK

Billy Jack Cowan-Former Raymond James Broker-Discloses Customer Dispute & Termination From Employment-Norman, OK 150 150 Rex Securities Law

May 2017-Norman, OK The FINRA records of  Billy Jack Cowan  ,  a  former stockbroker who is not currently  registered disclose  a regulatory event, 2 prior customer disputes, 2 terminations from employment and 8…

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William F. Albin-former Waddell & Reed Broker-Discloses Discharge

William F. Albin-former Waddell & Reed Broker-Discloses Discharge 150 150 Rex Securities Law

July 2016- Las Vegas, NV According to publicly available records William F. Albin , (CRD# 1744984) ,  a  stockbroker who is currently unregistered discloses that he was discharged from Waddell & Reed, Inc. in July…

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Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator

Former Cetera Financial Broker in Coral Springs Sanctioned by Securities Regulator 150 150 Rex Securities Law

July 13, 2015 Ingrid Bachelor  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she engaged in discretionary trading in…

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Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account

Former Wells Fargo Advisor Broker Sanctioned for Unauthorized Trading in Customer Account 150 150 Rex Securities Law

June 22, 2015 Tyler Powell  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he  exercised discretion in a…

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Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading

Barry Brower- Ameriprise–San Antonio, TX, Sanctioned for Discretionary Trading 150 150 Rex Securities Law

UPDATE-March 24, 2016 Barry S. Brower is not currently registered with any broker dealer.   Our Original Post–March 6, 2015,  Fair Oaks Ranch, Texas  Barry S. Brower,  entered into a Letter of…

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