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Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX

Tobin Hoffmann-Ameritas Investment Co. Broker-Discloses Pending Customer Dispute Over Limited Partnerships-New Braunfels TX 150 150 ER

Tobin  Hoffmann Investigation June 2022- New Braunfels, Texas According to publicly available records Tobin Carl Hoffmann, an Ameritas Investment Company broker, discloses a pending customer dispute. The Financial Industry Regulatory…

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Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY

Kurt Stein-Quint Capital Broker-Discloses Customer Dispute and 1 Pending Customer Disputes -New York, NY 150 150 ER

Kurt Stein Investigation March 2022- New York, NY The FINRA records of Kurt Anthony Stein,  a Quint Capital Corporation broker,  discloses 2 prior customer disputes and 1 pending customer dispute. The Financial…

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Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL

Gerald O’Halloran-Union Capital Company Broker-Subject of Customer & Regulatory Complaints-Punta Gorda, FL 150 150 Rex Securities Law

Gerald J. O’Halloran Investigation   March 2022-Punta Gorda, Florida The FINRA records of  Gerald J. O’Halloran,  a  previously registered stock broker who is currently employed by Union Capital Company and who was…

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Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC

Joseph Roop-Former Kalos Capital Broker-Discloses 11 Prior Customer Disputes -Belmont, NC 150 150 Rex Securities Law

Joseph Roop Investigation December 2021- 2020 – Belmont, NC The FINRA records of Joseph Patrick Roop,  a currently unregistered broker who was last employed by Dempsey Lord Smith and Kalos Capital,  disclose…

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Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages.

Ex-Pat With Losses in Your U.S. Brokerage Account? How to Recover Damages. 150 150 Rex Securities Law

Ex-Pat With Losses in Your U.S. Brokerage Account? November 2021 If you are an expat residing in Canada, The Bahamas, Japan, Thailand, Mexico, United Kingdom, Europe, Australia, the Caribbean, South…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX

“Doc” Gallagher-The “Money Doctor”-Sentenced For Operating Ponzi scheme-Fort Worth, TX 150 150 Rex Securities Law

Doc Gallagher Punishment-3 Life Sentences-Plus 30 Years Bible Thumping Advisor Preyed Upon Churchgoers  November 2021-Fort Worth, TX  “Doc Gallagher” According to recent press William Neil “Doc” Gallagher was sentenced to…

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Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Colorado Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Colorado Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021, is a historical record of individuals from Colorado who have been disciplined by CFP Board…

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Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update

Georgia Certified Financial Planners Disciplined by CFP Board- SEPTEMBER 2021 Update 150 150 Rex Securities Law

Georgia Financial Planners Disciplined The list below, taken from the CFP board disciplinary page of their website in SEPTEMBER 2021,  is a historical record of individuals from Georgia  who have been disciplined by…

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