finra investigation of stock broker Archives

ER
September 1, 2022
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Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, FL

Jeff LaBelle- Former First Allied Securities Broker- Discloses 10 Prior Customer Disputes and $1.4M in Pending Customer Disputes-, Sarasota, 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 September 1, 2022 September 1, 2022

Jeff LaBelle Investigation August 2022- Sarasota, FL According to available records, Jeffery (Jeff) Guy LaBelle , a currently unregistered broker who was previously registered with First Allied Securities, Inc. discloses 13…

ER
August 15, 2022
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Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, CA

Edward Turley- Former JP Morgan Broker- Discloses Over $30M in Settlements of Customer Suits- San Francisco, 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 August 15, 2022 March 13, 2023

Edward Turley Investigation March 2023– San Francisco, CA According to publicly available records, Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA, discloses 8 prior customer complaints, 2 pending…

ER
July 6, 2022
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Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO

Suzanne Charrin- Former Woodbury Financial Services Broker- Discloses Termination of Employment, Greenwood Village, CO 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 July 6, 2022 July 6, 2022

Suzanne Charrin Investigation July 2022- Greenwood Village, CO According to available records, Suzanne Charrin , an unregistered broker previously with Woodbury Financial Services, discloses a termination from employment. The Financial…

ER
July 5, 2022
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Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, TX

Mark Menard- Former Merrill Lynch Broker- Discloses Regulatory Suspension and Termination, Houston, 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 July 5, 2022 July 5, 2022

Mark Menard Investigation July 2022- Houston, TX According to available records, Mark Menard, a broker previously with Merrill Lynch, Pierce, Fenner & Smith, who now works for Cantella & Co.,…

ER
June 27, 2022
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Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, TX

Joe Allbright- Former Farmers Financial Broker- Discloses Regulatory Suspension and Prior Customer Dispute, Odessa, 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 June 27, 2022 June 27, 2022

Joe Allbright Investigation June 2022- Odessa, TX According to publicly available records, Joe M. Allbright, a currently unregistered broker, who last worked for Farmers Financial Solutions in Odessa, TX , discloses a regulatory…

ER
June 13, 2022
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Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, TX

Chris McFadden- Former LPL Financial Broker- Discloses Regulatory Suspension, Dallas, 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 June 13, 2022 June 13, 2022

Chris McFadden Investigation June 2022- Dallas, TX According to publicly available records, Chris D. McFadden, a currently unregistered broker, who last worked for Equitable Advisors and LPL Financial in Dallas, TX , discloses…

ER
May 4, 2022
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Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, NY

Dennis Riordan- Wynston Hill Capital Broker- Discloses Regulatory Suspension and Customer Suits-Bronx, 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 May 4, 2022 May 4, 2022

Dennis Riordan Investigation May 2022- Greenwich, CN According to publicly available records, Dennis Riordan, a Wynston Hill Capital broker in Bronx, NY , discloses 3 regulatory events and 3 final customer complaints.…

Rex Securities Law
September 20, 2015
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Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator

Garrett Ahrens, Former LPL Financial Broker Receives Notice of Investigation by Securities Regulator 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 September 20, 2015 March 16, 2016

September 18, 2015- Lafayette, Lousiana The Investment News reports that Garrett Andrew Ahrens, a broker ranked as one of the top advisers in Louisiana by Barron’s, with assets under management…

Rex Securities Law
June 12, 2015
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Global Arena Capital -FINRA Cancels Registraion

Global Arena Capital -FINRA Cancels Registraion 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 June 12, 2015 September 8, 2019

Global Arena Capital FINRA Registration Cancelled. According to FINRA records, FINRA cancelled the registration of Global Arena Capital as of 7/20/2015 for failure to pay FINRA registration fees. The company…