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FIrst Financial Equity investigation

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ

David J. Volpe- Former First Financial Equity Broker- Permanently Barred By Securities Regulator – SCottsdale, AZ 150 150 ER

David Volpe Investigation November 2021- Scottsdale, AZ According to publicly available records,  David John Volpe a currently unregistered financial advisor whose prior registrations include First Financial Equity, LPL Financial and National…

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Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ

Kirk Gill Investigation-Former Morgan Stanley Broker-Settles Numerous Customer Suits-Tucson, AZ 150 150 Rex Securities Law

April 2019-Tucson, AZ We recently filed an arbitration claim with FINRA on behalf of an Arizona couple who allege that Kirk Gill over concentrated their retirement accounts with energy stocks and made…

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Brooke A. Clements Discloses Discharge From Merrill Lynch

Brooke A. Clements Discloses Discharge From Merrill Lynch 150 150 Rex Securities Law

Greenwood Village, Colorado According to FINRA records, Brooke A. Clements,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2015 , discloses that he was discharged from Merrill Lynch in…

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Mark C. Quale-Discharged by First Financial Equity Corp.

Mark C. Quale-Discharged by First Financial Equity Corp. 150 150 Rex Securities Law

Scottsdale, AZ According to FINRA records, Mark C. Quale,  a broker who began working for First Financial Equity Corp. in 12/2005 discloses that he was discharged by First Financial Equity in…

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Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ

Kirk J. Gill-Former Morgan Stanley Broker-Discloses Numerous Customer Complaints-Tucson, AZ 150 150 Rex Securities Law

UPDATE March 2017- FINRA records disclose that additional customer disputes against Kirk Gill have been made since our prior posting. There are now 6 pending and 7 final customer disputes naming Gill. In February…

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John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO

John J. Avey Discloses Termination from BOSC, Inc-Greenwood Village, CO 150 150 Rex Securities Law

Greenwood Village, Colorado According to FINRA records, John J. Avey,  a broker who has been  registered  with First Financial Equity , since  1/2016  , discloses a termination and 2 prior customer disputes that…

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Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim

Joseph I. Yanofsky-former Merrill Lynch Broker-Discloses Termination and $400k Customer Claim 150 150 Rex Securities Law

  APRIL 2018 UPDATE–See this link.  May 2016-Greenwood Village, Colorado According to FINRA records, Joseph I. Yanofsky,  a broker who has been  registered  with FIrst Financial Equity Corp, since  6/2015 , discloses a…

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Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter

Randy G. Merrill-First Financial Equity Broker-Settles Customer Arbitration Matter 150 150 Rex Securities Law

Dallas, Texas According to FINRA records, Randy G. Merrill ,  a broker who has been  registered  with FIrst Financial Equity Corp, since  7/2009 , discloses a recently resolved customer dispute The Financial Industry Regulatory Authority…

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