finra arbitration attorney Archives - Page 8 of 170

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April 3, 2023
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Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD

Christopher Gordon- Former Cambridge Investment Research Broker-Discloses 4 Pending Customer Disputes-Annapolis, MD https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

Christopher Gordon Investigation April 2023-Annapolis, MD According to publicly available records Christopher J. Gordon,a broker who formerly worked with Cambridge Investment Research, but now is with Centaurus Financial, discloses 4 pending customer…

ER
April 3, 2023
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Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY

Nickolay Kukukov-Former Paulson Investment Broker-Discloses Regulatory Suspension and Termination From Employment- New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g April 3, 2023 April 3, 2023

Nickolay Kukukov Investigation April 2023-New York NY According to publicly available records Nickolay Kukukov , a former broker who last worked for Paulson Investment Company, discloses a final regulatory matter a…

ER
March 31, 2023
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Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA

Leo Li-Yuan Chien- Cetera Broker- Discloses Pending Customer Disputes- San Gabriel, CA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2023 March 31, 2023

Leo Chien Investigation March, 2023 – San Gabriel, CA The FINRA records of Leo Li-Yuan Chien a broker currently employed by Cetera Investment Services , disclose 2 pending and 2 priorcustomer disputes.…

ER
March 31, 2023
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Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY

Amit Kumar Bhatia-Former Raymond James Broker-Discloses a Regulatory Suspension – New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 31, 2023 March 31, 2023

Amit Bhatia Investigation March 2023-New York NY According to publicly available records Amit Kumar Bhatia , a former broker who last worked for Raymond James, discloses a final regulatory matter. The…

ER
March 27, 2023
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Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ

Janie Garza-Clark-Former TCFG Wealth Management Broker-Barred From Securities Industry by Regulators – Scottsdale, AZ https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Janie Garza-Clark Investigation March 2023-Scottsdale, AZ According to publicly available records Janie Garza-Clark , a former broker who last worked for TCFG Wealth Management, discloses a final regulatory matter resulting in…

ER
March 27, 2023
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Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY

Robert Kristal- Former H.C. Wainwright & Co. Broker-Discloses Regulatory Event – New York, NY https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Robert Kristal Investigation March 2023-New York, New York The FINRA records of Robert Eugene Kristal, a broker previously employed by H.C. Wainwright & Co. , disclose a regulatory matter resulting in a…

ER
March 27, 2023
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Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL

Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Dean Nowak Investigation March 2023- Winter Park, FL According to publicly available records Dean Nowak, a broker previously employed by Newbridge Securities Corporation, discloses 5 pending customer disputes. The Financial Industry…

ER
March 27, 2023
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Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX

Monica Laguna- Former JP Morgan Broker-Barred From Securities Industry by Securities Regulator -Coppell, TX https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Monica Laguna Investigation March 2023-Coppell, TX According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a…

Rex Securities Law
March 27, 2023
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John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA

John J. Woods of Southport Capital/Horizon Private Equity-Pleads Guilty to $25M Ponzi scheme-Atlanta, GA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2023 March 27, 2023

Horizon Private Equity III Investor Losses Estimated to Exceed 25 Million According to a US Attorney’s Office press release, John J. Woods has pleaded guilty to operating a Ponzi…