November 2019-New York According to FINRA records, Kevin Richard Graetz , a former stock broker who was last registered with Paulson Investment Company discloses that he was barred from the securities…
read moreChicago, IL UPDATE AUGUST 2016– According to public records, Ryan Boggs is named in Case #16-0023/ 20150459600 filed by the Chicago Board of Options Exchange alleging that Boggs, on behalf…
read moreCastle Rock, CO According to FINRA records, Judy A. Bat , a broker who is currently registered with Waddell & Reed , discloses a recently filed arbitration by a customer seeking damages of $400,000.…
read moreLakeland, Florida According to FINRA records, Edgar A. Thomas , a broker who is currently registered with Calton & Assoc. , discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is the…
read moreInvestors suffering losses on KBR Baron’s Cove may be able to recover damages from the brokerage firm that sold the investment. Contact Rex Securities Law for details. No charge initial…
read morePlano, Texas JUNE 2017 UPDATE–Mark Trewitt discloses two additional customer disputes: FINRA Case 17-0669- a customer of VFG Securities alleges damages of $300,000 for an overconcentration of unsuitable alternative investments, including…
read moreEl Paso, Texas According to FINRA records, Miguel A. Hernandez , a broker who was formerly registered with Thrivent Investment Management in El Paso, Texas , has been permanently barred from acting as a…
read moreSeptember 2018-Woodbury, New York According to FINRA records, Theodore Allocca, Jr. , a broker who is currently registered with Trident Partners Ltd. , disclose a pending customer dispute and two prior final customer…
read moreUPDATE AUGUST 2016-FINRA records disclose that a customer of COR Clearing has filed FINRA arbitration 16-2100 alleging damages of $778,119 for recommending worthless securities and fraud. UPDATE JULY 2016-FINRA records…
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