fbpx

girard securities problem

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX

Jason H. LeBlanc-Former Girard Securities Broker-Barred From Securities Industry-Fulshear, TX 150 150 Rex Securities Law

September 2017 -Fulshear, Texas According to publicly available records Jason H. LeBlanc (CRD#2483182) , a  former stockbroker who was last employed by Girard Securities , disclose  a prior regulatory event,  3 prior customer disputes and a…

read more

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge

Michael M. Hurtgen-Former Raymond James Broker-Discloses Discharge 150 150 Rex Securities Law

Greenwood, CO According to FINRA records,  Michael M. Hurtgen ,   a stock broker currently  employed by Girard Securities , discloses a termination from prior employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

read more

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT

Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Rex Securities Law

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

read more

David Harari-San Antonio Stock Broker Sanctioned by Regulator

David Harari-San Antonio Stock Broker Sanctioned by Regulator 150 150 Rex Securities Law

March 9, 2015- San Antonio, Texas  The National Adjudicatory Council of the Financial Industry Regulatory Authority (FINRA) issued a decision in Complaint No. 20111025899601 , affirming and modifying sanctions against David Harari…

read more

This site is protected by wp-copyrightpro.com