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IFS Securities

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX

George M. Warner-Former Chelsea Financial Broker-Discloses Regulatory Sanction -Horseshoe Bay & Rockwall, TX 150 150 Rex Securities Law

George M. Warner Investigation June 2022-Horseshoe Bay & Rockwall, TX The FINRA records of  George M. Warner ,  a  former stockbroker who last was registered with Chelsea Financial Services disclose 2 prior…

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Ashley Woodard-Former VOYA Financial Broker-Subject of Customer Suits Over Illiquid Real Estate Investments-Greenville, South Carolina

Ashley Woodard-Former VOYA Financial Broker-Subject of Customer Suits Over Illiquid Real Estate Investments-Greenville, South Carolina 150 150 Rex Securities Law

March 2022 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 3 pending customer disputes, 13 prior customer…

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Jim Flynn-Former Voya Financial/ Capital Investment Group Broker-Subject of Numerous Customer Suits -Greer, S. Carolina

Jim Flynn-Former Voya Financial/ Capital Investment Group Broker-Subject of Numerous Customer Suits -Greer, S. Carolina 150 150 Rex Securities Law

See this for SEPTEMBER 2020 UPDATE– Over $3.5 million paid out to former customers of Voya Financial/ Capital Investment Group financial advisor James T. Flynn. We currently have cases pending…

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James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ

James L. Powers-Former Du Pasquier Broker-Named In Regulatory Complaint-Hoboken, NJ 150 150 Rex Securities Law

April 2017- Hoboken, New Jersey According to publicly available records James L. Powers  , (CRD# 1793348) ,  a  currently unregistered stockbroker who was last registered with IFS Securities  discloses a pending  regulatory event. The Financial Industry Regulatory…

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