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exploitation of seniors

Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC
Cindy Chiellini-Centaurus Financial Broker- Discloses Pending Customer Disputes of Nearly $5M- Lexington, SC 150 150 Rex Securities Law

June 2020- Lexington, SC The FINRA records of Cindy Lucille Chiellini (CRD#1015592)  , a broker with Centaurus Financial, Inc., discloses  prior customer disputes and 27 pending customer disputes seeking damages of nearly $5,000,000 . The…

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James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT
James Booth-Former LPL Financial Broker-Barred from Industry-Subject of Multiple Theft Claims-Norwalk, CT 150 150 Rex Securities Law

June 2020- Norwalk, CT According to publicly available records, former LPL Financial financial advisor James T. Booth,  has been barred from the securities industry by FINRA. He  discloses 3 regulatory…

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James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX
James Kearney-Former Raymond James Broker-Discharged for Trading Without Permission-Houston, TX 150 150 Rex Securities Law

April 2020-Houston, TX According to publicly available records of James Joseph Kearney (CRD#265734) ,  a  former stockbroker who last worked for Raymond, James & Associates,  discloses  a regulatory event,  3 customer…

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Joseph Monroe Lawrence, III-Former Wells Fargo Broker-Discloses a Regulatory Event and Termination from Employment-Birmingham, AL
Joseph Monroe Lawrence, III-Former Wells Fargo Broker-Discloses a Regulatory Event and Termination from Employment-Birmingham, AL 150 150 Rex Securities Law

October 2020-Birmingham, AL According to publicly available records of Joseph Monroe Lawrence, III (CRD#5605961) ,  a former stockbroker who last worked for Wells Fargo Clearing Services,  discloses  a regulatory event and…

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James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA
James D’Meo-Former Kenneth, Jerome & Co., Inc. Broker- Permanently Barred from FINRA 150 150 Rex Securities Law

March 2020- Florham Park, NJ According to publicly available records.  James D. D’Meo, (CRD#1444759), a  former stockbroker who last worked for Kenneth, Jerome & Co., Inc.,  discloses 2 regulatory events,…

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Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX
Ramon Esparza-Former Mutual of Omaha Financial Advisor-Barred from Securities Industry-McAllen, TX 150 150 Rex Securities Law

April  2020- McAllen, TX The FINRA records of Ramon Esparza  , a broker previously employed  by  Mutual of Omaha Investor Services, Inc. , disclose a regulatory event resulting in his bar from the securities industry and…

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Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic
Stock Market Losses? –How to Recover Investment Losses Resulting From the COVID 19 Pandemic 150 150 Rex Securities Law

April 2020 Retirees and Those Anticipating Retirement In the Near Term Financial advisors are charged with a duty to make “suitable recommendations” to their customers. For those anticipating retirement in…

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Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX
Kerry Dean Wills- First Western Securities Broker- Suspended for Borrowing from Elderly Customer- Hurst, TX 150 150 Rex Securities Law

February 2010-Hurst, TX According to publicly available records of Kerry D. Wills (CRD#1353739) ,  a  stockbroker employed with First Western Securities, Inc.,  discloses a regulatory event resulting in a suspension and…

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Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA
Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA 150 150 Rex Securities Law

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant  , a former stock broker who last worked for M Holdings Securities, Inc. , disclose  a regulatory event resulting in a bar from the securities…

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